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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SMB FINANCIAL SERVICES, INC.

CRD 154216

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2efadefe-c696-c4ad-047b-2153fa8d827a

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Apr 29, 2019 to Feb 26, 2026
20 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $178MItem 5.F on the latest filing (2026-02-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $178M
Private client RAUM: $171MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $35.6Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 5
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 762
Individual clients: 381
High net worth clients: 55
Custody, client assets: $52.0M
SEC number: 801-116704
CRD: 154216
Filings on the tape: 20
First filed: Apr 29, 2019
Latest filed: Feb 26, 2026
Organised: Corporation, OR

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
TIMOTHY LUKE PORTER	Certified Financial Planner	PORTLAND, OR	16	20	1	no
THOMAS EDWARD PEEKEMA	Certified Financial Planner\|Chartered Financial Analyst	PORTLAND, OR	15	20	1	no
JAMES WALTER FLAD	n/a	PORTLAND, OR	15	52	1	no
RIAN JAMES FLAD	n/a	PORTLAND, OR	15	30	1	no
Jeremiah Forrister	Certified Financial Planner	PORTLAND, OR	10	13	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
PORTER, TIMOTHY, LUKE	PRESIDENT & CCO	E	yes	12/2021	Apr 29, 2019	Dec 20, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JAMES W. FLAD	n/a	n/a	n/a	Y	no	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 7 of 8

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Feb 26, 2026	$178M	$178M	5	5	n/a	n/a
2024	Mar 26, 2025	$160M	$160M	6	6	n/a	n/a
2023	Mar 22, 2024	$138M	$138M	7	7	n/a	n/a
2022	Mar 13, 2023	$122M	$122M	6	6	n/a	n/a
2021	Mar 30, 2022	$143M	$135M	7	7	n/a	n/a
2020	Mar 30, 2021	$136M	$129M	7	7	n/a	n/a
2019	Apr 8, 2020	$118M	$112M	7	7	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$178M	$160M	10.9%	$122M	13.4%	5	6	0	0

Relationships

Registered with (6)

← Jeremiah ForristerAdvisorregistration: current employment
Mar 8, 2016 to presentfactForm ADV
← JAMES WALTER FLADAdvisorregistration: current employment
Aug 17, 2011 to presentfactForm ADV
← RIAN JAMES FLADAdvisorregistration: current employment
Aug 17, 2011 to presentfactForm ADV
← THOMAS EDWARD PEEKEMAAdvisorregistration: current employment
Jul 12, 2011 to presentfactForm ADV
← TIMOTHY LUKE PORTERAdvisorregistration: current employment
Jul 23, 2010 to presentfactForm ADV
← BRIAN ADAM SINGERAdvisorregistration: previous registration
Jun 27, 2011 to Nov 13, 2013factForm ADV

Controls (1)

← PORTER, TIMOTHY, LUKEOwnerPRESIDENT & CCO, ownership code E, individual
Apr 29, 2019 to Dec 20, 2024factForm ADV

Dated events

Occurred
Mar 30, 2022
Control person left
Edward Bruce Porter (Chief Compliance Officer, Secretary Treasurer) no longer on Schedule A of Smb Financial Services, Inc. (listed 2021-12-13, absent 2022-03-30)
Form ADVobserved 5 days ago
Occurred
Apr 29, 2019
First Form ADV filing
Smb Financial Services, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2efadefe-c696-c4ad-047b-2153fa8d827a
First observed: Apr 29, 2019
Last observed: Feb 26, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SMB FINANCIAL SERVICES, INC.

CRD 154216

PORTLAND, OR

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2efadefe-c696-c4ad-047b-2153fa8d827a

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:42 PM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

TIMOTHY LUKE PORTER

Certified Financial Planner

PORTLAND, OR

THOMAS EDWARD PEEKEMA

Certified Financial Planner|Chartered Financial Analyst

PORTLAND, OR

JAMES WALTER FLAD

n/a

PORTLAND, OR

RIAN JAMES FLAD

n/a

PORTLAND, OR

Jeremiah Forrister

Certified Financial Planner

PORTLAND, OR

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

PORTER, TIMOTHY, LUKE

PRESIDENT & CCO

yes

12/2021

Apr 29, 2019

Dec 20, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JAMES W. FLAD

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Feb 26, 2026

$178M

n/a

2024

Mar 26, 2025

$160M

n/a

2023

Mar 22, 2024

$138M

n/a

2022

Mar 13, 2023

$122M

n/a

2021

Mar 30, 2022

$143M

$135M

n/a

2020

Mar 30, 2021

$136M

$129M

n/a

2019

Apr 8, 2020

$118M

$112M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$178M

$160M

10.9%

$122M

13.4%