DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Stephen Richard Smith

Stephen Smith Financial Inc.independent RIASchaumburg, IlIA-onlyIAPD 6713437

Feed of 09/14/2026

At current firm

0 y

since Dec 3, 2025

In the industry

18 y

since Dec 1, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Stephen Smith Financial Inc. independent RIA current
since Dec 3, 2025 · Schaumburg, Il
Ae Wealth Management, LLC BD affiliated
Nov 5, 2025 to Apr 28, 2026 · Schaumburg, Il
Wealth Builder Funds LLC former
Jan 10, 2024 to Nov 4, 2025 · Cary, Il
Significant Wealth Partners LLC independent RIA
Jul 12, 2018 to Jan 15, 2026 · Cary, Il
Capital Management Consultants, Inc. former
Oct 27, 2016 to Feb 20, 2024 · Northbrook, Il

Moves

a registration end followed by a registration begin elsewhere

Ae Wealth Management, LLC to Stephen Smith Financial Inc.
left Apr 28, 2026, registered Dec 3, 2025 (-146 days) · Affiliated broker-dealer or bank to a newly registered adviser
Significant Wealth Partners LLC to Wealth Builder Funds LLC
left Jan 15, 2026, registered Jan 10, 2024 (-736 days) · Other
Wealth Builder Funds LLC to Ae Wealth Management, LLC
left Nov 4, 2025, registered Nov 5, 2025 (1 days) · Other
Capital Management Consultants, Inc. to Significant Wealth Partners LLC
left Feb 20, 2024, registered Jul 12, 2018 (-2049 days) · RIA to RIA

Signals

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

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Independent wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address