SMB FINANCIAL SERVICES, INC.
Adviser information for SMB FINANCIAL SERVICES, INC. last updated from Form ADV on March 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Oregon, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 7 |
| Licensed Agents of an Insurance Company | 3 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 768 | $138.0M |
| Non-Discretionary | 0 | $0 |
| Total | 768 | $138.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 362 | $68.1M |
| HNW Individuals | 37 | $65.3M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 6 | $4.7M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPension consulting servicesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly charges |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-116704 |
|---|---|
| SEC ERA File Number | 801-116704 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154216 |
| Legal Entity Identifier | None |
Principal Office
11535 SW 67TH AVEPORTLAND
OR
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 503-387-3222, Fax: 503-344-4558
Chief Compliance Officer
TIM PORTER
11535 SW 67TH AVE
PORTLAND
OR
United States
Tel:
503-387-3222
Fax:
503-344-4558
T**@************L
(Full email address available in API data)
Regulatory Contact
JOHN T. CARR
COMPLIANCE COUNSEL
6650 REDWOOD LANE
SUITE 220
PORTLAND
OR
United States
Tel:
503-635-5244
Fax:
503-635-2955
J****@******************M
(Full email address available in API data)
Industry Affiliates
| JAMES W. FLAD, CPA, PC | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PORTER, TIMOTHY, LUKE | Individual | – | PRESIDENT & CCO | 12/2021 | > 75% |