DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

SMEDLEY FINANCIAL SERVICES INC

CRD 110870

SALT LAKE CITY, UT

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:a169227c-22fb-0b03-81a1-5857feeb5dec

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Feb 22, 2012 to Jul 29, 2026
30 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $397MItem 5.F on the latest filing (2026-07-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $397M
Private client RAUM: $394MderivedItem 5.D individuals plus high net worth individuals
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $66.1Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 11
Advisory employees: 6
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,961
Individual clients: 744
High net worth clients: 105
SEC number: 801-17207
CRD: 110870
Filings on the tape: 30
First filed: Feb 22, 2012
Latest filed: Jul 29, 2026
Organised: Corporation, UT

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
ROGER MERRILL SMEDLEY	Certified Financial Planner	SALT LAKE CITY, UT	28	45	n/a	yes
JAMES R DERRICK	Chartered Financial Analyst	SALT LAKE CITY, UT	22	27	n/a	yes
SHANE PAUL THOMAS	n/a	SALT LAKE CITY, UT	21	23	n/a	yes
MIKAL AUNE	Certified Financial Planner	SALT LAKE CITY, UT	20	20	n/a	yes
JORDAN ROBERT HADFIELD	Certified Financial Planner	SALT LAKE CITY, UT	8	11	n/a	yes
PARKER LEE THOMPSON	Certified Financial Planner	SALT LAKE CITY, UT	4	11	n/a	yes

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
DERRICK, JAMES, R	CHIEF COMPLIANCE OFFICER	Na	yes	09/2004	Feb 22, 2012	Dec 4, 2024
JESSOP, SHARLA, J	President	B	yes	02/2017	Feb 22, 2012	Dec 4, 2024
SMEDLEY, ROGER, MERRILL	Ceo	E	yes	02/2017	Feb 22, 2012	Dec 4, 2024

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 13 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jan 24, 2025	$307M	$307M	10	7	0	n/a	n/a
2023	Aug 18, 2023	$278M	$278M	10	7	0	n/a	n/a
2022	Aug 9, 2022	$260M	$260M	10	7	0	n/a	n/a
2021	Aug 20, 2021	$277M	$277M	10	6	0	n/a	n/a
2020	Sep 14, 2020	$223M	$223M	10	7	0	n/a	n/a
2019	Aug 30, 2019	$231M	$231M	10	7	0	n/a	n/a
2018	Aug 31, 2018	$315M	$315M	9	7	0	n/a	n/a
2017	Aug 31, 2017	$200M	$200M	10	6	n/a	n/a	n/a
2016	Sep 2, 2016	$186M	$186M	9	5	n/a	n/a	n/a
2015	Aug 12, 2015	$180M	$180M	9	6	n/a	n/a	n/a
2014	Aug 26, 2014	$182M	$182M	9	6	n/a	n/a	n/a
2013	Aug 28, 2013	$161M	$161M	9	6	n/a	n/a	n/a
2012	Aug 30, 2012	$148M	$148M	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
2024	$397M	$278M	42.8%	$277M	12.8%	11	10	0	0

Relationships

Registered with (10)

← PARKER LEE THOMPSONAdvisorregistration: current employment
Aug 5, 2022 to presentfactForm ADV
← JORDAN ROBERT HADFIELDAdvisorregistration: current employment
May 3, 2018 to presentfactForm ADV
← MIKAL AUNEAdvisorregistration: current employment
Jul 12, 2006 to presentfactForm ADV
← SHANE PAUL THOMASAdvisorregistration: current employment
Jul 8, 2005 to presentfactForm ADV
← JAMES R DERRICKAdvisorregistration: current employment
Sep 30, 2003 to presentfactForm ADV
← ROGER MERRILL SMEDLEYAdvisorregistration: current employment
Jan 27, 1998 to presentfactForm ADV
← Leah NelsonAdvisorregistration: previous registration
Apr 30, 2018 to Oct 16, 2020factForm ADV
← ERIC DANIEL HENCLEYAdvisorregistration: previous registration
Aug 17, 2017 to Dec 7, 2017factForm ADV
← Allison Rose OsgoodAdvisorregistration: previous registration
Apr 26, 2017 to Oct 23, 2017factForm ADV
← RODNEY AUSTIN WALKERAdvisorregistration: previous registration
Oct 9, 2003 to May 16, 2016factForm ADV

Controls (3)

← JESSOP, SHARLA, JOwnerPRESIDENT, ownership code B, individual
Feb 22, 2012 to Dec 4, 2024factForm ADV
← DERRICK, JAMES, ROwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 22, 2012 to Dec 4, 2024factForm ADV
← SMEDLEY, ROGER, MERRILLOwnerCEO, ownership code E, individual
Feb 22, 2012 to Dec 4, 2024factForm ADV

Dated events

Occurred
Apr 18, 2018
Regulatory AUM changed
Smedley Financial Services Inc reported RAUM $309.8M, up 55% from $200.3M (2017-08-31 to 2018-04-18)
Form ADVobserved 6 days ago
$110M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a169227c-22fb-0b03-81a1-5857feeb5dec
First observed: Feb 22, 2012
Last observed: Jul 29, 2026 54 days 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.

SMEDLEY FINANCIAL SERVICES INC

CRD 110870

SALT LAKE CITY, UT

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:a169227c-22fb-0b03-81a1-5857feeb5dec

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:20 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

ROGER MERRILL SMEDLEY

Certified Financial Planner

SALT LAKE CITY, UT

n/a

yes

JAMES R DERRICK

Chartered Financial Analyst

SALT LAKE CITY, UT

n/a

yes

SHANE PAUL THOMAS

n/a

SALT LAKE CITY, UT

n/a

yes

MIKAL AUNE

Certified Financial Planner

SALT LAKE CITY, UT

n/a

yes

JORDAN ROBERT HADFIELD

Certified Financial Planner

SALT LAKE CITY, UT

n/a

yes

PARKER LEE THOMPSON

Certified Financial Planner

SALT LAKE CITY, UT

n/a

yes

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DERRICK, JAMES, R

CHIEF COMPLIANCE OFFICER

yes

09/2004

Feb 22, 2012

Dec 4, 2024

JESSOP, SHARLA, J

President

yes

02/2017

Feb 22, 2012

Dec 4, 2024

SMEDLEY, ROGER, MERRILL

Ceo

yes

02/2017

Feb 22, 2012

Dec 4, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Jan 24, 2025

$307M

n/a

2023

Aug 18, 2023

$278M

n/a

2022

Aug 9, 2022

$260M

n/a

2021

Aug 20, 2021

$277M

n/a

2020

Sep 14, 2020

$223M

n/a

2019

Aug 30, 2019

$231M

n/a

2018

Aug 31, 2018

$315M

n/a

2017

Aug 31, 2017

$200M

n/a

2016

Sep 2, 2016

$186M

n/a

2015

Aug 12, 2015

$180M

n/a

2014

Aug 26, 2014

$182M

n/a

2013

Aug 28, 2013

$161M

n/a

2012

Aug 30, 2012

$148M

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

2024

$397M

$278M

42.8%

$277M

12.8%