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SMITH BROTHERS FINANCIAL, LLC

dba SMITH BROTHERS FINANCIAL, LLC · CRD 322951 · Registered Investment Adviser

SMITH BROTHERS FINANCIAL, LLC is a Registered Investment Adviser headquartered in GLASTONBURY, CT. The firm reports $1,113,194,633 in regulatory assets under management across 487 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$867,539,037
Non-discretionary$245,655,596
Total RAUM$1,113,194,633
Accounts487

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 322951. adviserinfo.sec.gov/firm/summary/322951.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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