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.
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SEC-registered adviser
S•••• F••••••••
Legal name S•••• F•••••••• I••••••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 23, 2012 · 21 filings
SEC status approved since Jun 15, 2010
RAUM
$457M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
65%
$297M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$457M as of Mar 27, 2026
Mar 23, 2012$143M then
HNW client RAUM$251M as of Mar 27, 2026
Mar 14, 2018$69.2M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)5 as of Mar 27, 2026
Mar 28, 20135 then
Private funds: no history
RAUM +21% over the last fiscal year+17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 53derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $830,736derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 63%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -44%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $107M, 63 clientsreportedItem 9.A
- 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
- 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$251M55%
- Charitable organizations$142M31%
- Individuals$45.9M10%
- Pension and profit-sharing plans$17.3M3.8%
- Individual clients
- 87reported
- HNW clients
- 72reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 550reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $107M for 63 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• T••••• S•••• | Kokomo, In | May 17, 2011 | 32 y | 2 |
| R•••••• A•••• S••••Chartered Financial Consultant | Kokomo, In | May 17, 2011 | 42 y | 2 |
| B•••• W•••••• B•••••Certified Financial Planner | Kokomo, In | Jun 26, 2020 | 16 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
none on the tape
Joined, latest
- R•••••• A•••• S•••• from V•••••• A•••••••• I•••May 17, 2011 · Other
- A•••• T••••• S•••• from V•••••• A•••••••• I•••May 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••• A••••• T••••• · Chief Compliance Officercontrolsince 05/2010 · owns less than 5%
- S••••• R••••••• A•••• · Presidentcontrolsince 05/2010 · owns 75% or more
Related persons
Schedule D 7.A
- A•••• S••••y
- S•••• F••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Kokomo, In · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $378,041,360 to $456,904,847, advisors 3 to 3, private clients 282 to 159, offices 0 to 0 (2025-03-26 to 2026-03-27)peers: independent wealth managers, $100M to $500M (5,676)
- very high RAUM per advisorStatic outlier · filing Mar 27, 2026RAUM per registered advisor of $152,301,616 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.4 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
- client count collapseChange between filings · filing Mar 27, 2026individual and HNW clients (Item 5.D) moved from 282.0 to 159.0 (-44.0%) between the annual amendments of 2025-03-26 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 2.2% percentile
What changed
consecutive filings, newest first
- Accounts · 613 to 550Mar 26, 2025 to Mar 27, 2026
- Business name · S•••• F•••••••• I••••••••• A•••••••• I••• to S•••• F••••••••Mar 26, 2025 to Mar 27, 2026
- Corporate clients · 5.0 to unsetMar 26, 2025 to Mar 27, 2026
- Individual clients · 210 to 87Mar 26, 2025 to Mar 27, 2026
- Assets in custody · $142M to $107MMar 26, 2025 to Mar 27, 2026
- Financial planning clients · 251-500 to 101-250Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $265M to $290MMar 26, 2025 to Mar 27, 2026
- HNW RAUM · $191M to $251MMar 26, 2025 to Mar 27, 2026
- Individual RAUM · $60.6M to $45.9MMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $113M to $167MMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $18.1M to $17.3MMar 26, 2025 to Mar 27, 2026
- RAUM · $378M to $457MMar 26, 2025 to Mar 27, 2026
- Accounts · 594 to 613Mar 9, 2024 to Mar 26, 2025
- Corporate clients · unset to 5.0Mar 9, 2024 to Mar 26, 2025
- HNW clients · 120 to 72Mar 9, 2024 to Mar 26, 2025
- Individual clients · 172 to 210Mar 9, 2024 to Mar 26, 2025
- Pension plan clients · 5.0 to unsetMar 9, 2024 to Mar 26, 2025
- Assets in custody · $83.5M to $142MMar 9, 2024 to Mar 26, 2025
- Custody of client assets · false to trueMar 9, 2024 to Mar 26, 2025
- Financial planning clients · 101-250 to 251-500Mar 9, 2024 to Mar 26, 2025
- Discretionary RAUM · $144M to $265MMar 9, 2024 to Mar 26, 2025
- HNW RAUM · $156M to $191MMar 9, 2024 to Mar 26, 2025
- Individual RAUM · $44.9M to $60.6MMar 9, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $189M to $113MMar 9, 2024 to Mar 26, 2025
- Pension RAUM · $26.9M to $18.1MMar 9, 2024 to Mar 26, 2025
- RAUM · $333M to $378MMar 9, 2024 to Mar 26, 2025
- Accounts · 587 to 594Nov 28, 2023 to Mar 9, 2024
- HNW clients · 134 to 120Nov 28, 2023 to Mar 9, 2024
- Individual clients · 177 to 172Nov 28, 2023 to Mar 9, 2024
- Assets in custody · $53.6M to $83.5MNov 28, 2023 to Mar 9, 2024
- Custody of client assets · true to falseNov 28, 2023 to Mar 9, 2024
- Discretionary RAUM · $128M to $144MNov 28, 2023 to Mar 9, 2024
- HNW RAUM · $134M to $156MNov 28, 2023 to Mar 9, 2024
- Individual RAUM · $41.0M to $44.9MNov 28, 2023 to Mar 9, 2024
- Non-discretionary RAUM · $160M to $189MNov 28, 2023 to Mar 9, 2024
- Pension RAUM · $23.3M to $26.9MNov 28, 2023 to Mar 9, 2024
- RAUM · $288M to $333MNov 28, 2023 to Mar 9, 2024
- Accounts · 586 to 587Mar 29, 2022 to Mar 21, 2023
- HNW clients · 121 to 134Mar 29, 2022 to Mar 21, 2023
- Individual clients · 180 to 177Mar 29, 2022 to Mar 21, 2023
Signals
No event on the tape.
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
- Firm profile
- linkedin.com/company/smith-financial-investment-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- S••••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 765-459-4111reportedpublic record, Form ADV, Mar 27, 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026