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.
SEC-registered adviser
Smedley Financial Services Inc
Latest filing Jul 29, 2026
First filing on the tape Feb 22, 2012 · 30 filings
SEC status approved since Jun 4, 1982
RAUM
$397M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$394M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$66.1M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$397M as of Jul 29, 2026
Aug 30, 2012$148M then
HNW client RAUM$218M as of Jul 29, 2026
Aug 31, 2018$67.1M then
State-registered IARs (5.B.3)6 as of Jul 29, 2026
Aug 30, 20120 then
Employees (5.A)11 as of Jul 29, 2026
Aug 28, 20139 then
Private funds: no history
RAUM +43% over the last fiscal year+13% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $66.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $202,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.1%derived
- Compensation
- percentage of assets, hourly, fixed fees, subscription, commissions, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$218M55%
- Individuals$176M44%
- Corporations and businesses$2.3M0.6%
- Individual clients
- 744reported
- HNW clients
- 105reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,961reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Roger Merrill SmedleyCertified Financial Planner | Salt Lake City, Ut | Jan 27, 1998 | 45 y | 0 |
| James R DerrickChartered Financial Analyst | Salt Lake City, Ut | Sep 30, 2003 | 27 y | 0 |
| Shane Paul Thomas | Salt Lake City, Ut | Jul 8, 2005 | 23 y | 0 |
| Mikal AuneCertified Financial Planner | Salt Lake City, Ut | Jul 12, 2006 | 20 y | 0 |
| Jordan Robert HadfieldCertified Financial Planner | Salt Lake City, Ut | May 3, 2018 | 11 y | 0 |
| Parker Lee ThompsonCertified Financial Planner | Salt Lake City, Ut | Aug 5, 2022 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Leah Nelson to Del-Sette Capital Management, LLCOct 16, 2020 · RIA to RIA
- Eric Daniel Hencley to Francis LLCDec 7, 2017 · Other
- Allison Rose Osgood to U.S. Bancorp Investments, Inc.Oct 23, 2017 · Other
- Rodney Austin Walker to Allegis Investment Advisors, LLCMay 16, 2016 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R James Derrick · Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
- J Sharla Jessop · Presidentcontrolsince 02/2017 · owns 10% to 25%
- Merrill Roger Smedley · Ceocontrolsince 02/2017 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Salt Lake City, Ut · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,952 to 1,961Aug 8, 2025 to Jul 29, 2026
- Corporate clients · 5 to 6Aug 8, 2025 to Jul 29, 2026
- HNW clients · 72 to 105Aug 8, 2025 to Jul 29, 2026
- Individual clients · 702 to 744Aug 8, 2025 to Jul 29, 2026
- Employees · 10 to 11Aug 8, 2025 to Jul 29, 2026
- Discretionary RAUM · $342M to $397MAug 8, 2025 to Jul 29, 2026
- HNW RAUM · $141M to $218MAug 8, 2025 to Jul 29, 2026
- Individual RAUM · $199M to $176MAug 8, 2025 to Jul 29, 2026
- RAUM · $342M to $397MAug 8, 2025 to Jul 29, 2026
- Accounts · 2,035 to 1,952Jan 24, 2025 to Jul 29, 2025
- Advisory employees · 7 to 6Jan 24, 2025 to Jul 29, 2025
- BD registered reps · 7 to 6Jan 24, 2025 to Jul 29, 2025
- Corporate clients · unset to 5.0Jan 24, 2025 to Jul 29, 2025
- HNW clients · 63 to 72Jan 24, 2025 to Jul 29, 2025
- Individual clients · 715 to 702Jan 24, 2025 to Jul 29, 2025
- Financial planning clients · 251-500 to 251-500Jan 24, 2025 to Jul 29, 2025
- State-registered IARs · 7 to 6Jan 24, 2025 to Jul 29, 2025
- Discretionary RAUM · $307M to $342MJan 24, 2025 to Jul 29, 2025
- HNW RAUM · $124M to $141MJan 24, 2025 to Jul 29, 2025
- Individual RAUM · $182M to $199MJan 24, 2025 to Jul 29, 2025
- RAUM · $307M to $342MJan 24, 2025 to Jul 29, 2025
- Accounts · 2,090 to 2,035Aug 18, 2023 to Sep 6, 2024
- BD registered reps · 6 to 7Aug 18, 2023 to Sep 6, 2024
- HNW clients · 55 to 63Aug 18, 2023 to Sep 6, 2024
- Individual clients · 740 to 715Aug 18, 2023 to Sep 6, 2024
- Pension plan clients · unset to 0.0Aug 18, 2023 to Sep 6, 2024
- Discretionary RAUM · $278M to $307MAug 18, 2023 to Sep 6, 2024
- HNW RAUM · $94.7M to $124MAug 18, 2023 to Sep 6, 2024
- Individual RAUM · $181M to $182MAug 18, 2023 to Sep 6, 2024
- Pension RAUM · $592,607 to $0Aug 18, 2023 to Sep 6, 2024
- RAUM · $278M to $307MAug 18, 2023 to Sep 6, 2024
- Accounts · 2,106 to 2,090Aug 9, 2022 to Aug 18, 2023
- BD registered reps · 8 to 6Aug 9, 2022 to Aug 18, 2023
- HNW clients · 54 to 55Aug 9, 2022 to Aug 18, 2023
- Individual clients · 747 to 740Aug 9, 2022 to Aug 18, 2023
- Discretionary RAUM · $260M to $278MAug 9, 2022 to Aug 18, 2023
- HNW RAUM · $88.7M to $94.7MAug 9, 2022 to Aug 18, 2023
- Individual RAUM · $170M to $181MAug 9, 2022 to Aug 18, 2023
- Pension RAUM · $537,534 to $592,607Aug 9, 2022 to Aug 18, 2023
- RAUM · $260M to $278MAug 9, 2022 to Aug 18, 2023
Signals
1 dated events
- Smedley Financial Services Inc reported RAUM $309.8M, up 55% from $200.3M (2017-08-31 to 2018-04-18)Apr 18, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-748-4788reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 801-355-1912reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 801-355-8888reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/SMEDLEYFINANCIALreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SMEDLEYFINANCIAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 801-355-8888reportedpublic record, Form ADV, Jul 29, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026