SourcingSourcing

SMITH BROTHERS FINANCIAL, LLC

C41
CRD 322951·SEC 801-126687·GLASTONBURY, CT
AUM
$1.11B
$1B+
Est. Revenue
$11.1M
@ 1% on AUM
Est. EBITDA
$3.3M
@ 30% margin
Est. Deal Value
$26.7M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SMITH BROTHERS FINANCIAL, LLC
CRD
322951
SEC file #
801-126687
EIN
—
DBA names
—

Economics

AUM
$1.11B
AUM band
$1B+
AUM trajectory
'25'26
$999.2M → $1.11B▲ +11%
Client mix
Individuals Other295
Pension Profit Sharing Plans112
Individuals High Net Worth80
Corporations5
Charitable Organizations2

Operations

Employees (total)
7
Advisory staff (per ADV)
6
Advisory staff (5-yr trend)
'23'26
3 advisors → 6 advisors▲ +100%
Primary office
GLASTONBURY CT
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individuals
Fee basis
% of AUMFixed fees

Filings

Latest ADV filing
03/30/2026
ADV-W filed at
—
Website
smithbrothersfs.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SMITH, JOSEPH, BRIAN
Top Owner Pct
62.5
Top Owner Entity Kind
I
Owner Count
5
Control Persons
SMITH, JOSEPH, BRIAN
MICHAELS, STEPHEN, ROBERT
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
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
SMITHBROTHERSFS.COM
Rdap Domain Creation Date
2007-02-09T19:27:35Z
Rdap Firm Age Years
19
Rdap Firm Age Band
10-20y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book
Yes
Form 5500 Plan Count
21
Form 5500 Total Compensation
498,115
Form 5500 Compensation Trajectory 3y
2025438,977
202659,138
Form 5500 Plan Count Trajectory 3y
202518
20263
Schedule C Total Compensation
498,115
Schedule C Service Provider Rows
21

SEC EDGAR

Edgar Registered
No

Compliance & brand

Firm Registration Status
active

All other collected signals (14)

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

Adv W Recently Filed
No
Bc Firm Active Bc Count
6
Bc Firm Active IA Count
8
Bc Firm IAR Count
8
Custodian Candidates
Full
Charles Schwab6
Lpl Financial4
E*trade4
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2027-02-09T19:27:35Z
Rdap Domain Last Changed
2026-01-27T19:49:45Z
Rdap Nameservers
Hayes.ns.cloudflare.comNicole.ns.cloudflare.com
Rdap Secure Dns Enabled
Yes
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Top Owner CRD
4692642
Trust Company Affiliate
No

People (8)

8
SMITH, JOSEPH, BRIAN
IAR · Direct Owner · 62.5%
4692642
MICHAELS, STEPHEN, ROBERT
IAR · Direct Owner · 37.5%
4398984
PREWITT, TIMOTHY, HOWARD
IAR · Direct Owner · 7.5%
5092660
CAMOIN, ANDREA, ELIZABETH
IAR · Direct Owner · 7.5%
2550502
GIANTONIO, JEFFREY
IAR · Executive Officer · 2.5%
2660402
MATTHEW Alan MULCAHY
IAR
7651755
Joseph Bryce Smith
IAR
8204798
Ashley L. Winn
IAR
6692167