Smith Brothers Financial, Llc
- Regulatory AUM
- $1.1B
- Discretionary
- $868M
- Clients
- 494
- Avg AUM / client
- $2.3M
- Accounts
- 487
- Employees
- 7
AUM over time
Annual snapshots from Form ADV filings · as of May 13, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 295 | $78.5M | 7.05% |
| High net worth individuals | 80 | $163M | 14.6% |
| Pension and profit sharing plans | 112 | $868M | 77.9% |
| Charitable organizations | 2 | $490K | 0.04% |
| Corporations and other businesses | 5 | $3.9M | 0.35% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (8)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Joseph Brian Smith | Chief Executive Officer | Sep 2022 (4y) | 50% – 75% | |
| Stephen Robert Michaels | President | Sep 2022 (4y) | 25% – 50% | |
| Timothy Howard Prewitt | Chief Revenue Officer | Sep 2022 (4y) | 5% – 10% | |
| Jeffrey Giantonio | Member | Oct 2022 (4y) | Less than 5% | |
| Andrea Elizabeth Camoin | Chief Compliance Officer | CFP Chartered Financial Consultant | Jan 2023 (4y) | 5% – 10% |
| Ashley L. Winn | Registered representative | May 2023 (3y) | ||
| Matthew Alan Mulcahy | Registered representative | Aug 2025 (1y) | ||
| Joseph Bryce Smith | Registered representative | Feb 2026 (0y) |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (16)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Fountain House 403(b) Retirement Plan | Fountain House, Inc. | 256 | $16.2M | 07/01/2024 |
| Wellmore, Inc. 401(k) And Profit Sharing Plan | Wellmore, Inc. | 317 | $10.7M | 07/01/2024 |
| Lyman Products Corporation 401(k) Plan | Lyman Products Corporation | 100 | $8.2M | 01/01/2024 |
| The Bethel Home 401(k) Profit Sharing Plan | Bethel Methodist Home | 123 | $5.3M | 01/01/2024 |
| The Loomis Communities 403(b) Retirement Plan | Loomis House, Inc. | 472 | $7.2M | 01/01/2024 |
| The Simon Konover Company 401 K Savings Plan | The Simon Konover Company | 221 | $16.7M | 01/01/2024 |
| Chartwell Operations Llc Multiple Employer 401(k) Plan | Chartwell Operations Llc | 265 | $7.2M | 01/01/2024 |
| Mobilization For Justice, Inc. 403(b) Plan | Mobilization For Justice, Inc. | 153 | $23.3M | 01/01/2024 |
| Polamer Precision Inc 401(k) Profit Sharing Plan & Trust | Polamer Precision Inc | 197 | $8.9M | 01/01/2024 |
| Hobson & Motzer, Inc. 401 K Plan | Hobson & Motzer, Inc. | 302 | $38.9M | 01/01/2024 |
| Prides Corner Farms, Inc. Employees Profit Sharing Plan | Prides Corner Farms, Inc. | 603 | $9.0M | 01/01/2024 |
| Leeway, Inc. 401(k) Retirement Plan | Leeway, Inc. | 0 | $0 | 01/01/2024 |
| Usa Waste And Recycling, Inc. Master 401(k) Profit Sharing Plan | Usa Waste And Recycling, Inc. | 774 | $60.9M | 01/01/2024 |
| Innovive Health 401(k) Plan | Innovive Health Of Massachusetts, Llc | 705 | $14.1M | 01/01/2024 |
| Smith Brothers Insurance, Llc 401(k) Retirement Plan | Smith Brothers Insurance, Llc | 222 | $29.1M | 01/01/2024 |
| Loureiro Engineering Associates, Inc 401(k) Plan | Loureiro Engineering Associates, Inc. | 163 | $25.3M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/13/2026 | 949 KB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
Custody
Reported custodians
- LPL Financial $235M (21% of AUM) May 2026
- Assetmark Trust Company $11.0M (1% of AUM) May 2026
- Asset Mark $11.0M (1% of AUM) May 2026
- Charles Schwab & Co. $10.9M (1% of AUM) May 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 13, 2026.
View current Form ADV (SEC/IAPD) ↗