DFX Intelligence

Data Factory

RIA / WealthAdvisor18 years in industry

Stephen Richard Smith

Advisor at STEPHEN SMITH FINANCIAL INC.

SCHAUMBURG, IL

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:c28286af-2eec-89c9-64f2-98ce5533b705

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:31 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Oct 27, 2016 to Sep 14, 2026

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

Current firm: STEPHEN SMITH FINANCIAL INC.
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 1, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65
First exam: Oct 27, 2016
First registration: Oct 27, 2016
Dual registered: no
IAPD individual key: 6713437

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STEPHEN SMITH FINANCIAL INC.	Independent wealth	Dec 3, 2025	n/a	yes	SCHAUMBURG, IL	Current employment
AE WEALTH MANAGEMENT, LLC	Bd affiliated wealth	Nov 5, 2025	Apr 28, 2026	no	Schaumburg, IL\|Schaumburg, IL	Previous registration
WEALTH BUILDER FUNDS LLC	Former SEC adviser	Jan 10, 2024	Nov 4, 2025	no	CARY, IL	Previous registration
SIGNIFICANT WEALTH PARTNERS LLC	Independent wealth	Jul 12, 2018	Jan 15, 2026	no	CARY, IL\|Downers Grove, IL	Previous registration
CAPITAL MANAGEMENT CONSULTANTS, INC.	Former SEC adviser	Oct 27, 2016	Feb 20, 2024	no	NORTHBROOK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AE WEALTH MANAGEMENT, LLC	STEPHEN SMITH FINANCIAL INC.	Apr 28, 2026	Dec 3, 2025	-146	Firm change after gap	Ibd to new firm
SIGNIFICANT WEALTH PARTNERS LLC	WEALTH BUILDER FUNDS LLC	Jan 15, 2026	Jan 10, 2024	-736	Firm change after gap	Other
WEALTH BUILDER FUNDS LLC	AE WEALTH MANAGEMENT, LLC	Nov 4, 2025	Nov 5, 2025	1	Firm change	Other
CAPITAL MANAGEMENT CONSULTANTS, INC.	SIGNIFICANT WEALTH PARTNERS LLC	Feb 20, 2024	Jul 12, 2018	-2,049	Firm change after gap	RIA to RIA

Relationships

Registered with (5)

→ STEPHEN SMITH FINANCIAL INC.Registered adviserregistration: current employment
Dec 3, 2025 to presentfactForm ADV
→ AE WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
Nov 5, 2025 to Apr 28, 2026factForm ADV
→ SIGNIFICANT WEALTH PARTNERS LLCRegistered adviserregistration: previous registration
Jul 12, 2018 to Jan 15, 2026factForm ADV
→ WEALTH BUILDER FUNDS LLCRegistered adviserregistration: previous registration
Jan 10, 2024 to Nov 4, 2025factForm ADV
→ CAPITAL MANAGEMENT CONSULTANTS, INC.Registered adviserregistration: previous registration
Oct 27, 2016 to Feb 20, 2024factForm ADV

Dated events

Occurred
Apr 28, 2026
Advisor changed firm
Stephen Richard Smith left Ae Wealth Management, Llc for Stephen Smith Financial Inc. (registered 2025-12-03)
Form ADVobserved 4 days ago
Occurred
Jan 15, 2026
Advisor changed firm
Stephen Richard Smith left Significant Wealth Partners Llc for Wealth Builder Funds Llc (registered 2024-01-10)
Form ADVobserved 4 days ago
Occurred
Nov 4, 2025
Advisor changed firm
Stephen Richard Smith left Wealth Builder Funds Llc for Ae Wealth Management, Llc (registered 2025-11-05)
Form ADVobserved 4 days ago
Occurred
Feb 20, 2024
Advisor changed firm
Stephen Richard Smith left Capital Management Consultants, Inc. for Significant Wealth Partners Llc (registered 2018-07-12)
Form ADVobserved 4 days ago