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•••• B••••••• F••••••••• L••
Latest filing Aug 30, 2026
First filing on the tape Sep 2, 2022 · 16 filings
SEC status approved since Sep 30, 2022
RAUM
$1.1B
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
22%
$241M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$139M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.1B as of Aug 30, 2026
Jan 27, 2023$498M then
HNW client RAUM$163M as of Aug 30, 2026
Jan 27, 2023$36.0M then
State-registered IARs (5.B.3)6 as of Aug 30, 2026
Jan 27, 20235 then
Employees (5.A)7 as of Aug 30, 2026
Jan 27, 20237 then
Private funds: no history
RAUM +11% over the last fiscal year+31% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $2.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 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
- +15%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $246MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$868M78%
- High-net-worth individuals$163M15%
- Individuals$78.5M7.0%
- Corporations and businesses$3.9M0.4%
- Charitable organizations$490,0100.0%
- Individual clients
- 295reported
- HNW clients
- 80reported
- Pension plan clients
- 112reported
- Charitable clients
- 2reported
- Accounts
- 487reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.22 fund_share=0.0 institutional_share=0.78 related_bd=false related_bank=false bd_reps=6.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• R••••• M••••••• | Glastonbury, Ct | Oct 11, 2022 | 30 y | 1 |
| J••••• B•••• S•••• | Glastonbury, Ct | Oct 11, 2022 | 37 y | 2 |
| J•••••• G•••••••• | Glastonbury, Ct | Oct 11, 2022 | 16 y | 4 |
| T•••••• H••••• P•••••• | Glastonbury, Ct | Nov 18, 2022 | 20 y | 1 |
| A••••• E•••••••• C•••••Certified Financial Planner, Chartered Financial Consultant | Glastonbury, Ct | Jan 5, 2023 | 26 y | 4 |
| A••••• L• W••• | Glastonbury, Ct | May 2, 2023 | 15 y | 1 |
| M•••••• A••• M•••••• | Glastonbury, Ct | Aug 18, 2025 | 21 y | 0 |
| J••••• B•••• S•••• | Glastonbury, Ct | Feb 19, 2026 | 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
none on the tape
Joined, latest
- A••••• L• W••• from C••••• A••••••• L••May 2, 2023 · Other
- A••••• E•••••••• C••••• from M• H••••••• S••••••••• I•••Jan 5, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- T•••••• H••••• P•••••• from P•••••••• S••••••••• I•••Nov 18, 2022 · Other
- S•••••• R••••• M••••••• from W••••••• F•••••••• S•••••••• I•••Oct 11, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••• B•••• S•••• from L•• F•••••••• L••Oct 11, 2022 · RIA to a newly registered adviser
- J•••••• G•••••••• from W••••••• F•••••••• S•••••••• I•••Oct 11, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W••••••• F•••••••• S•••••••• I•••Oct 13, 2022 · Glastonbury, Ct
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• A•••••• E•••••••• · Chief Compliance Officercontrolsince 02/2023 · owns 5% to 10%
- M•••••••• S••••••• R••••• · Financial Advisorcontrolsince 09/2022 · owns 25% to 50%
- P••••••• T••••••• H••••• · Presidentcontrolsince 09/2022 · owns 5% to 10%
- S••••• J•••••• B•••• · Chief Executive Officercontrolsince 09/2022 · owns 50% to 75%
- G••••••••• J•••••• · Membersince 12/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Glastonbury, Ct · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- West Hartford, CT2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Aug 30, 2026institutional share of RAUM of 78% against a peer median of 3% (1362 comparable advisers, 100.0th percentile, 18.7 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 100% percentile
What changed
consecutive filings, newest first
- Discretionary RAUM · $246M to $868MMar 30, 2026 to May 13, 2026
- Non-discretionary RAUM · $868M to $246MMar 30, 2026 to May 13, 2026
- Accounts · 448 to 487Jun 26, 2025 to Mar 30, 2026
- Corporate clients · 10 to 5Jun 26, 2025 to Mar 30, 2026
- HNW clients · 52 to 80Jun 26, 2025 to Mar 30, 2026
- Individual clients · 275 to 295Jun 26, 2025 to Mar 30, 2026
- Pension plan clients · 9 to 112Jun 26, 2025 to Mar 30, 2026
- Employees · 8 to 7Jun 26, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 101-250Jun 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $222M to $246MJun 26, 2025 to Mar 30, 2026
- HNW RAUM · $119M to $163MJun 26, 2025 to Mar 30, 2026
- Individual RAUM · $92.7M to $78.5MJun 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $777M to $868MJun 26, 2025 to Mar 30, 2026
- Pension RAUM · $777M to $868MJun 26, 2025 to Mar 30, 2026
- RAUM · $999M to $1.1BJun 26, 2025 to Mar 30, 2026
- Corporate clients · 2 to 10Mar 30, 2025 to Jun 26, 2025
- Pooled vehicle clients · 8 to 0Mar 30, 2025 to Jun 26, 2025
- Financial planning clients · 1-10 to 1-10Mar 30, 2025 to Jun 26, 2025
- Pooled vehicle RAUM · $6.6M to $0Mar 30, 2025 to Jun 26, 2025
- Accounts · 387 to 448Jan 20, 2025 to Mar 30, 2025
- HNW clients · 35 to 52Jan 20, 2025 to Mar 30, 2025
- Individual clients · 241 to 275Jan 20, 2025 to Mar 30, 2025
- Discretionary RAUM · $154M to $222MJan 20, 2025 to Mar 30, 2025
- HNW RAUM · $93.0M to $119MJan 20, 2025 to Mar 30, 2025
- Individual RAUM · $51.4M to $92.7MJan 20, 2025 to Mar 30, 2025
- Non-discretionary RAUM · $693M to $777MJan 20, 2025 to Mar 30, 2025
- Pension RAUM · $693M to $777MJan 20, 2025 to Mar 30, 2025
- Pooled vehicle RAUM · $5.8M to $6.6MJan 20, 2025 to Mar 30, 2025
- RAUM · $847M to $999MJan 20, 2025 to Mar 30, 2025
- Accounts · 236 to 387May 2, 2023 to Mar 28, 2024
- Advisory employees · 5 to 6May 2, 2023 to Mar 28, 2024
- BD registered reps · 5 to 6May 2, 2023 to Mar 28, 2024
- Charity clients · unset to 2.0May 2, 2023 to Mar 28, 2024
- Corporate clients · unset to 2.0May 2, 2023 to Mar 28, 2024
- HNW clients · 28 to 35May 2, 2023 to Mar 28, 2024
- Individual clients · 185 to 241May 2, 2023 to Mar 28, 2024
- Pension plan clients · 51 to 9May 2, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 8.0May 2, 2023 to Mar 28, 2024
- Employees · 7 to 8May 2, 2023 to Mar 28, 2024
- State-registered IARs · 5 to 6May 2, 2023 to Mar 28, 2024
Signals
4 dated events
- S•••• B••••••• F••••••••• L•• reported RAUM $846.5M, up 70% from $498.0M (2023-05-02 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Elizabeth Andrea Camoin (Chief Compliance Officer) appeared on Schedule A of S•••• B••••••• F••••••••• L••Jan 27, 2023 · Control person joined · fact
- 2 advisors left W••••••• F•••••••• S•••••••• I••• (Glastonbury, CT) for S•••• B••••••• F••••••••• L•• on the same dayOct 13, 2022 · Team lift-out · derived
- S•••• B••••••• F••••••••• L•• filed its initial SEC registration (Form ADV)Sep 2, 2022 · First SEC registration · fact
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
- 860-652-3235reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 860-430-3272reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 914-705-4586reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/smith-brothers-financial-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- smithbrothersfs.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (800) 426-6946reportedpublic record, Form ADV, Aug 30, 2026
- Contact form
- smithbrothersfs.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $139Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026