Asset manager · Glastonbury, CT
Smith Brothers Financial, LLC
SEC-registered investment adviser · CRD 322951 · SEC 801-126687
At a glance
Smith Brothers Financial, LLC is an SEC-registered investment adviser based in Glastonbury, Connecticut, with $1.1 billion in regulatory assets under management as of its Form ADV filed August 30, 2026. Its largest client group by assets is pension and profit sharing plans, and it reports 375 individual clients. By Form ADV it is a asset manager, ranked 1,307th of 3,218 asset managers and 5,053rd of 17,210 SEC-registered advisers by assets.
Main office 800-426-6946smithbrothersfs.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $1.1B
- Rank among asset managers
- #1,307 of 3,218
- Rank among all SEC RIAs
- #5,053 of 17,210
- Rank in Connecticut
- #209 of 507
- Individual clients
- 375
- High-net-worth clients
- 80
- Accounts
- 487
- Discretionary
- 78% of AUM
- Employees
- 7
- Advisory staff
- 6
- Offices
- 2
Owners and executives on its Form ADV
- Joseph B. SmithChief Executive Officer
- Timothy H. PrewittPresident
- Stephen R. MichaelsFinancial Advisor
- Andrea E. CamoinChief Compliance Officer
- Jeffrey GiantonioMember
Custody and brokerage
Broker-dealer
Hybrid RIA
Smith Brothers Financial, LLC is a hybrid RIA: 6 of its employees are also registered representatives of a broker-dealer.
Its Form ADV brochure (filed August 2026) names LPL Financial as the broker-dealer its advisers are registered with.
Advisory Persons is/are also a Registered Representative of LPL Financial, LLC (“LPL Financial”), a registered broker-dealer (CRD# 6413), member FINRA, SIPC.
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pension and profit sharing plans | 112 | $868M | 78% |
| High-net-worth individuals | 80 | $163M | 15% |
| Individuals | 295 | $78M | 7% |
| Corporations or other businesses | 5 | $4M | <1% |
| Charitable organizations | 2 | $0M | <1% |
Disciplinary disclosures
Smith Brothers Financial, LLC reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Financial planning
- Portfolio management for individuals and small businesses
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗smithbrothersfs.com ↗
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The full record on Smith Brothers Financial, LLC
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 3 years of filings
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- Growth over one, three and five years
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- Rank against 988 peers of its type and size
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- Owners and executives, with titles and stakes
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- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Smith Brothers Financial, LLC manage?
Smith Brothers Financial, LLC reports $1.1 billion in regulatory assets under management across 487 accounts, 78% of it on a discretionary basis, on its Form ADV filed August 30, 2026.
What kind of firm is Smith Brothers Financial, LLC?
Smith Brothers Financial, LLC is a asset manager by its Form ADV answers. Most of its assets are managed for funds, institutions or other businesses rather than individuals.
Who are Smith Brothers Financial, LLC’s clients?
By assets, its largest client types are pension and profit sharing plans ($868 million, 112 clients); high-net-worth individuals ($163 million, 80 clients); individuals ($78 million, 295 clients).
Does Smith Brothers Financial, LLC have any disciplinary history?
Smith Brothers Financial, LLC reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Smith Brothers Financial, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-08-30), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →