SourcingSourcing

SMITH FINANCIAL INVESTMENT ADVISORS, INC.

C45
CRD 154022·SEC 801-71492·KOKOMO, IN
AUM
$456.9M
$100M-$500M
Est. Revenue
$4.6M
@ 1% on AUM
Est. EBITDA
$1.4M
@ 30% margin
Est. Deal Value
$11.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SMITH FINANCIAL INVESTMENT ADVISORS, INC.
CRD
154022
SEC file #
801-71492
EIN
—
DBA names
Smith Financial

Economics

AUM
$456.9M
AUM band
$100M-$500M
AUM trajectory
'20'26
$185.1M → $456.9M▲ +147%
Client mix
Individuals Other87
Individuals High Net Worth72

Operations

Employees (total)
5
Advisory staff (per ADV)
5
Advisory staff (5-yr trend)
'20'26
4 advisors → 5 advisors▲ +25%
Primary office
KOKOMO IN
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businessesPension consulting
Fee basis
% of AUMHourly chargesFixed fees

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
smithfinancial.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, RICHARD, ALLEN
Top Owner Pct
87.5
Top Owner Entity Kind
I
Owner Count
2
Control Persons
SMITH, RICHARD, ALLEN
SMITH, AARON, TAYLOR
Solo Advisor Indicator
No
Succession Risk Solo Owner
Yes
Is Parent Owned Subsidiary
No

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SMITHFINANCIAL.COM
Rdap Domain Creation Date
1997-11-05T05:00:00Z
Rdap Firm Age Years
29
Rdap Firm Age Band
20+y
Rdap Registrar
Network Solutions, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No
Form 5500 Plan Count
1
Form 5500 Total Compensation
62,491
Form 5500 Compensation Trajectory 3y
202562,491
Form 5500 Plan Count Trajectory 3y
20251
Schedule C Total Compensation
62,491
Schedule C Service Provider Rows
1

SEC EDGAR

Edgar Registered
No

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.181
Soi Zip Pct 200k Plus
0.0286
Soi Zip Returns 200k Plus
520
Soi Zip Total AGI
1,131,919
Fdic Zip Total Deposits
8,520,448,000
Fdic Zip Branch Count
200
Fdic Zip Top Banks
Community First Bank of Indiana
KeyBank National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (24)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
3
Bc Firm IAR Count
3
Custodian Candidates
Full
Charles Schwab6
E*trade4
Fdic Zip Branches Raw
First Federal Savings Bank of KokomoKokomo, IN
Society National Bank, IndianaKokomo, IN
Fdic Zip HHI
1262.31
Fdic Zip Top Bank Share Pct
21.47
Fdic Zip Year
2025
Firm Has Custody
Yes
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-11-04T05:00:00Z
Rdap Domain Last Changed
2025-09-05T08:02:49Z
Rdap Nameservers
Ns63.worldnic.comNs64.worldnic.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Transfer Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI72,200
Returns5,750
Stub 2
AGI159,757
Returns4,370
Stub 3
AGI174,515
Returns2,820
Soi Zip Total Business Income
24,699
Soi Zip Total Cap Gains
31,337
Soi Zip Total Dividends
14,615
Soi Zip Total Returns
18,180
Top Owner CRD
1353025
Trust Company Affiliate
No

People (3)

3
SMITH, RICHARD, ALLEN
IAR · Direct Owner · 87.5%
1353025
SMITH, AARON, TAYLOR
IAR · Executive Officer · 2.5%
4233192
Blake William Brutus
IAR
7238751