SMITH FINANCIAL INVESTMENT ADVISORS, INC.
Adviser information for SMITH FINANCIAL INVESTMENT ADVISORS, INC. last updated from Form ADV on March 9th, 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 | Indiana, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| 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 | 465 | $144.2M |
| Non-Discretionary | 129 | $188.6M |
| Total | 594 | $332.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 172 | $44.9M |
| HNW Individuals | 120 | $156.3M |
| 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 | 5 | $26.9M |
| Charitable organizations | <5 | $100.3M |
| 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 | <5 | $4.5M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 101-250 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-71492 |
|---|---|
| SEC ERA File Number | 801-71492 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154022 |
| Legal Entity Identifier | None |
Principal Office
1830 S. PLATE ST.KOKOMO
IN
United States
Monday - Friday, 9:00 A.M. - 4:30 P.M.
Tel: 765-459-4111, Fax: 765-454-7589
Chief Compliance Officer
AARON T. SMITH
1830 S. PLATE ST.
KOKOMO
IN
United States
Tel:
765-459-4111 EXT. 302
Fax:
765-454-7589
A*********@*****************M
(Full email address available in API data)
Regulatory Contact
RICHARD A. SMITH
PRESIDENT
1830 S. PLATE ST.
KOKOMO
IN
United States
Tel:
765-459-4111
Fax:
765-454-7589
R********@*****************M
(Full email address available in API data)
Industry Affiliates
| AARON SMITH LAW SERVICES | Lawyer or law firm |
| SMITH FINANCIAL, LLC | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, RICHARD, ALLEN | Individual | – | PRESIDENT | 05/2010 | > 75% |
| SMITH, AARON, TAYLOR | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2010 | < 5% |