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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SMITH FINANCIAL

SMITH FINANCIAL INVESTMENT ADVISORS, INC., CRD 154022

KOKOMO, IN

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:55b0bbcc-fedb-981c-de09-13ea3c229299

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Mar 27, 2026
21 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=0.65 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $457MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $290M
Private client RAUM: $297MderivedItem 5.D individuals plus high net worth individuals
Private client share: 65%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $152Mderivedthe 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: 550
Individual clients: 87
High net worth clients: 72
Custody, client assets: $107M
SEC number: 801-71492
CRD: 154022
Filings on the tape: 21
First filed: Mar 23, 2012
Latest filed: Mar 27, 2026
Organised: Corporation, IN
Website: smithfinancial.com

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
RICHARD ALLEN SMITH	Chartered Financial Consultant	KOKOMO, IN	15	42	2	no
AARON TAYLOR SMITH	n/a	KOKOMO, IN	15	32	2	no
Blake William Brutus	Certified Financial Planner	KOKOMO, IN	6	16	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
SMITH, AARON, TAYLOR	CHIEF COMPLIANCE OFFICER	Na	yes	05/2010	Mar 23, 2012	Mar 9, 2024
SMITH, RICHARD, ALLEN	President	E	yes	05/2010	Mar 23, 2012	Mar 9, 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
AARON SMITH	n/a	n/a	n/a	Y	yes	n/a
SMITH FINANCIAL, LLC	n/a	n/a	n/a	N	yes	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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$457M	$290M	5	5	0	n/a	n/a
2024	Mar 26, 2025	$378M	$265M	5	5	0	n/a	n/a
2023	Mar 9, 2024	$333M	$144M	5	5	0	n/a	n/a
2022	Mar 21, 2023	$288M	$128M	5	5	0	n/a	n/a
2021	Mar 29, 2022	$319M	$135M	5	5	0	n/a	n/a
2020	Apr 2, 2021	$276M	$123M	6	6	0	n/a	n/a
2019	Mar 22, 2020	$254M	$106M	6	4	0	n/a	n/a
2018	Mar 28, 2019	$185M	$82.2M	4	4	0	n/a	n/a
2017	Mar 14, 2018	$201M	$79.6M	4	4	0	n/a	n/a
2016	Mar 1, 2017	$165M	$72.6M	6	3	n/a	n/a	n/a
2015	Mar 22, 2016	$145M	$61.4M	6	3	n/a	n/a	n/a
2014	Mar 16, 2015	$148M	$59.0M	5	3	n/a	n/a	n/a
2013	Jan 13, 2014	$113M	$50.6M	5	3	n/a	n/a	n/a
2012	Mar 28, 2013	$95.8M	$39.5M	5	3	n/a	n/a	n/a
2011	Mar 23, 2012	$143M	$33.9M	n/a	n/a	n/a	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	$457M	$378M	20.9%	$288M	16.7%	5	5	0	0

Relationships

Registered with (3)

← Blake William BrutusAdvisorregistration: current employment
Jun 26, 2020 to presentfactForm ADV
← RICHARD ALLEN SMITHAdvisorregistration: current employment
May 17, 2011 to presentfactForm ADV
← AARON TAYLOR SMITHAdvisorregistration: current employment
May 17, 2011 to presentfactForm ADV

Controls (2)

← SMITH, RICHARD, ALLENOwnerPRESIDENT, ownership code E, individual
Mar 23, 2012 to Mar 9, 2024factForm ADV
← SMITH, AARON, TAYLOROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 23, 2012 to Mar 9, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:55b0bbcc-fedb-981c-de09-13ea3c229299
First observed: Mar 23, 2012
Last observed: Mar 27, 2026 5 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.

SMITH FINANCIAL

SMITH FINANCIAL INVESTMENT ADVISORS, INC., CRD 154022

KOKOMO, IN

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:55b0bbcc-fedb-981c-de09-13ea3c229299

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:07 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

RICHARD ALLEN SMITH

Chartered Financial Consultant

KOKOMO, IN

AARON TAYLOR SMITH

n/a

KOKOMO, IN

Blake William Brutus

Certified Financial Planner

KOKOMO, IN

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SMITH, AARON, TAYLOR

CHIEF COMPLIANCE OFFICER

yes

05/2010

Mar 23, 2012

Mar 9, 2024

SMITH, RICHARD, ALLEN

President

yes

05/2010

Mar 23, 2012

Mar 9, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

AARON SMITH

n/a

yes

n/a

SMITH FINANCIAL, LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$457M

$290M

n/a

2024

Mar 26, 2025

$378M

$265M

n/a

2023

Mar 9, 2024

$333M

$144M

n/a

2022

Mar 21, 2023

$288M

$128M

n/a

2021

Mar 29, 2022

$319M

$135M

n/a

2020

Apr 2, 2021

$276M

$123M

n/a

2019

Mar 22, 2020

$254M

$106M

n/a

2018

Mar 28, 2019

$185M

$82.2M

n/a

2017

Mar 14, 2018

$201M

$79.6M

n/a

2016

Mar 1, 2017

$165M

$72.6M

n/a

2015

Mar 22, 2016

$145M

$61.4M

n/a

2014

Mar 16, 2015

$148M

$59.0M

n/a

2013

Jan 13, 2014

$113M

$50.6M

n/a

2012

Mar 28, 2013

$95.8M

$39.5M

n/a

2011

Mar 23, 2012

$143M

$33.9M

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

$457M

$378M

20.9%

$288M

16.7%