Investment adviser · CRD 322951
SMITH BROTHERS FINANCIAL, LLC
Investment adviser filing (IA)
GLASTONBURY, CT, United States · Form ADV filed Aug 30, 2026
- Regulatory AUM
- $1.11B Form ADV · Item 5.F
- Client accounts
- 487 Accounts, not individual clients
- Employees
- 7 Reported in this filing
- Advisory professionals
- 6 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Retirement plans | 112 | $867,539,037 | 77.9% |
| High-net-worth individuals | 80 | $162,806,823 | 14.6% |
| Individuals | 295 | $78,459,413 | 7.0% |
| Corporations & businesses | 5 | $3,899,350 | 0.4% |
| Charities | Fewer than 5 | $490,010 | 0.0% |
Filing source
Form ADV 2129656 · Aug 30, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Aug 30, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management
Compensation
Percentage of assets · Fixed
Principal office
68 NATIONAL DRIVEGLASTONBURY, CT, 06033, United States
CRD 322951
Filing source
Form ADV 2129656 · Aug 30, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.