Smith, Brian David provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions. Financial planning was provided to 251–500 clients last fiscal year.
Smith, Brian David reports 304 clients. They include 303 individuals and 1 pension or profit-sharing plan. Of its assets, 99.2% ($132M across 643 accounts) are managed with discretion; $1.02M across 13 accounts are not.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 100% | 99% |
| Pension and profit-sharing plans | <1% | <1% |
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 303 | $132M | 99.5% | $437K |
| Pension and profit-sharing plans | 1 | $699K | 0.5% | $699K |
| Total | 304 | $133M | 100% | $437K |
- Clients
- 303
- Regulatory AUM
- $132M
- AUM share
- 99.5%
- Avg. per client
- $437K
- Clients
- 1
- Regulatory AUM
- $699K
- AUM share
- 0.5%
- Avg. per client
- $699K
Total
- Clients
- 304
- Regulatory AUM
- $133M
- AUM share
- 100%
- Avg. per client
- $437K
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 0
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 251–500
Smith, Brian David charges 1.40%–2.00% for its Investment management services. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Financial planning
- Financial planning is billed at a maximum hourly rate of $350, or a fixed fee; the fee is negotiable.
Brian Smith owns 75% or more of Smith, Brian David. The leadership team of Smith, Brian David includes President Brian Smith. It has 2 employees.
Staff
- 2 employees
- 2 in advisory functions
- 2 state-registered reps
- 2 insurance agents
- 2 soliciting firms
- Owns 75% or more of Smith, Brian David
Brian Smith
Control person · since November 1998
Besides its headquarters, Smith, Brian David has 0 offices, with 1 listed address in 1 state.
South Carolina · 1 listed address
- C/O 107 Manly Street, GreenvilleHQ
Contact and registration details
- Legal name
- Smith, Brian David
- Headquarters
- C/O 107 Manly Street, Greenville, SC 29601
- Phone
- 864-284-6511
- SEC file
- 801-136439
- Structure
- South Carolina sole proprietorship
- Fiscal year end
- December
Smith, Brian David does not have custody of client assets.
At year end, Smith, Brian David’s separately managed accounts were mostly in stocks (50%) and cash (25%).
What the accounts hold
- Stocks50%
- Funds20%
- Bonds5%
- Investment grade corporate bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Cash25%
How many clients does Smith, Brian David have?
Smith, Brian David has 304 clients and manages $133 million for them, as of June 2026. They include 303 individuals and 1 pension or profit-sharing plan.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 1 June 2026
What services does Smith, Brian David offer?
Smith, Brian David provides financial planning, portfolio management for individuals and small businesses, and portfolio management for institutions.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file
How much does Smith, Brian David charge?
Smith, Brian David charges 1.40%–2.00% for its Investment management services. The brochure does not state whether the rate is annual. The fee is billed in advance and is negotiable.
Source: SOUTHEAST FINANCIAL ADVISORS SEC BROCHURE MAY 2026, filed 7 May 2026
How many financial advisors does Smith, Brian David have?
Smith, Brian David has 2 investment adviser representatives registered with state securities authorities, out of 2 employees, and 2 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 2 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Smith, Brian David invest in?
At the end of its last fiscal year, Smith, Brian David’s separately managed accounts held 50% exchange-traded equities, 25% cash and equivalents, 20% registered funds (mutual funds, ETFs, BDCs), 3% investment grade corporate bonds, 1% U.S. government and agency bonds and 1% state and local bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Smith, Brian David?
Smith, Brian David’s direct owner is Brian Smith (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 1 June 2026
How does Smith, Brian David get paid?
Smith, Brian David is paid through a percentage of assets under management, hourly charges and fixed fees. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
How do I contact Smith, Brian David?
Smith, Brian David’s main office is at C/O 107 Manly Street, Greenville, SC 29601. Its phone number is 864-284-6511. Its website is southeastfinancialadvisors.com.
