RIA Intel›Advisers›Connecticut›SMITH BROTHERS FINANCIAL, LLC

SMITH BROTHERS FINANCIAL, LLC

Advisory

N·GLASTONBURY, CT

Data as of May 13, 2026 · Source: SEC Form ADV

Total AUM

$1.1B

1-Year AUM Growth

+18.0%

3-Year CAGR

0.0%

Employees

6

Assets Under Management

Total AUM$1.1B

Discretionary AUM$868M

Non-Discretionary AUM$246M

Discretionary %77.9%

Total Clients350

Team

Total Employees6

Investment Advisers7

Employee Growth (1Y)—

Filing History

Total Filings on Record10

First FilingSep 2, 2022

Latest FilingMay 13, 2026

🔒 Full AUM trend chart and 10 historical filings spanning 4+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on SMITH BROTHERS FINANCIAL, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.