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SMITH BROTHERS FINANCIAL, LLC

GLASTONBURY, CT · CRD 322951 · IAPD ↗ · smithbrothersfs.com · (800) 426-6946

$1.11BRegulatory AUM
6Advisory reps
7Employees
0Clients
101-250Planning clients
0Private funds
8States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

72
April 2026 — SMITH BROTHERS FINANCIAL, LLC reports 101-250 financial-planning clients, up from 1-10.
Financial-planning client bucket (Item 5H) moved up, e.g. 11-25 -> 26-50.
Financial planning software
85
April 2026 — SMITH BROTHERS FINANCIAL, LLC crossed $1B in regulatory AUM ($999.2M -> $1.11B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
70
April 2024 — SMITH BROTHERS FINANCIAL, LLC crossed $500M in regulatory AUM ($498.0M -> $846.5M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.