SMITH BROTHERS FINANCIAL, LLC
Adviser information for SMITH BROTHERS FINANCIAL, LLC last updated from Form ADV on March 28th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Connecticut, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 5 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 290 | $153.9M |
| Non-Discretionary | 97 | $692.6M |
| Total | 387 | $846.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 241 | $51.4M |
| HNW Individuals | 35 | $93.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 8 | $5.8M |
| Pension and profit sharing plans | 9 | $692.6M |
| Charitable organizations | <5 | $343,463 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $780,647 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $2.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| 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 businesses |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 153.9M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| SMITH BROTHERS WRAP FEE PROGRAM | SMITH BROTHERS FINANCIAL, LLC |
Identifiers
| SEC RIA File Number | 801-126687 |
|---|---|
| SEC ERA File Number | 801-126687 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322951 |
| Legal Entity Identifier | None |
Principal Office
68 NATIONAL DRIVEGLASTONBURY
CT
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: (800) 426-6946, Fax: None
Chief Compliance Officer
ANDREA CAMOIN
68 NATIONAL DRIVE
GLASTONBURY
CT
United States
Tel:
(860) 494-2122
A******@*******************M
(Full email address available in API data)
Regulatory Contact
TIMOTHY PREWITT
CHEIF FINANCIAL OFFICER
68 NATIONAL DRIVE
GLASTONBURY
CT
United States
Tel:
(860) 494-2122
T*******@*******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, JOSEPH, BRIAN | Individual | – | CHIEF EXECUTIVE OFFICER | 09/2022 | 50-75% |
| PREWITT, TIMOTHY, HOWARD | Individual | – | CHIEF REVENUE OFFICER | 09/2022 | 5-10% |
| MICHAELS, STEPHEN, ROBERT | Individual | – | PRESIDENT | 09/2022 | 25-50% |
| CAMOIN, ANDREA, ELIZABETH | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | 5-10% |
| GIANTONIO, JEFFREY | Individual | – | MEMBER | 12/2022 | < 5% |