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STEPHEN SMITH FINANCIAL INC.

SCHAUMBURG, IL · CRD 339402 · IAPD ↗ · stephensmithfinancial.com · 847-881-8996

$129.0MRegulatory AUM
2Advisory reps
4Employees
0Clients
0Planning clients
0Private funds
2States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

42
April 2026 — STEPHEN SMITH FINANCIAL INC. notice-filed in TX.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
70
April 2026 — STEPHEN SMITH FINANCIAL INC.'s provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
75
April 2026 — STEPHEN SMITH FINANCIAL INC. now offers financial planning (Item 5G(1)).
Firm now reports offering financial planning (Item 5G(1)). They need planning software.
Financial planning softwareCRM
95
January 2026 — STEPHEN SMITH FINANCIAL INC. (SCHAUMBURG, IL) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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