Investment adviser · CRD 339402
STEPHEN SMITH FINANCIAL INC.
Investment adviser filing (IA)
SCHAUMBURG, IL, United States · Form ADV filed Jul 8, 2026
- Regulatory AUM
- $129M Form ADV · Item 5.F
- Client accounts
- 458 Accounts, not individual clients
- Employees
- 4 Reported in this filing
- Advisory professionals
- 2 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 |
|---|---|---|---|
| Individuals | 160 | $129,000,000 | 100.0% |
Filing source
Form ADV 2118323 · Jul 8, 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: Jul 8, 2026. View historical filings
Reported services
Financial planning · Individual portfolio management · Selection of other advisers · Educational seminars
Compensation
Percentage of assets
Principal office
1701 EAST WOODFIELD ROAD, SUITE 810SCHAUMBURG, IL, 60173, United States
CRD 339402
Filing source
Form ADV 2118323 · Jul 8, 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.