{"url":"https://nivawealth.com/firms/smith-brian-david-121757","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/121757","regulatoryAum":132964803,"crd":"121757","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"5492430","suffix":null,"lastName":"EMMONS","firstName":"MICHELLE","middleName":"RENEE"},{"crd":"2394812","suffix":null,"lastName":"SMITH","firstName":"BRIAN","middleName":"DAVID"}],"total":2,"loadedAt":"2026-10-10T00:20:19.761928+00:00","sourceUrl":"https://reports.adviserinfo.sec.gov/reports/CompilationReports/IA_INDVL_Feed_10_09_2026.xml.zip"},"secFileNumber":"801-136439","legalName":"Smith, Brian David","displayName":"Smith, Brian David","slug":"smith-brian-david-121757","website":"https://southeastfinancialadvisors.com/","classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"independent_wealth_manager","typeLabel":"RIA","feeDisclosure":"full"},"founded":null,"organization":"South Carolina sole proprietorship","fiscalYearEnd":"December","headquarters":{"street":"C/O 107 Manly Street","city":"Greenville","state":"SC","stateName":"South Carolina","country":"United States","postalCode":"29601"},"tradeNames":[],"registration":{"secApproved":"5 June 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":436522.1683168317,"staff":{"employees":2,"advisory":2,"brokerDealerReps":0,"insuranceAgents":2,"promoters":2},"aum":{"regulatory":132964803,"discretionary":131948113,"discretionaryAccounts":643,"nonDiscretionary":1016690,"nonDiscretionaryAccounts":13,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":303,"regulatoryAum":132266217},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":698586}],"feePrograms":[{"role":"main","program":"Investment management services","feeBasis":"range","fee_tiers":null,"sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044270","versionId":1044270,"ratePeriod":"not_stated","fee_billing":"advance","submittedOn":"2026-05-07","documentName":"SOUTHEAST FINANCIAL ADVISORS SEC BROCHURE MAY 2026","fee_rate_low":1.4,"fee_rate_high":2,"fee_negotiable":true,"minimum_account":null,"feeMinimumPeriod":null,"fee_minimum_annual":null},{"role":"other","program":"Financial planning","summary":"Financial planning is billed at a maximum hourly rate of $350, or a fixed fee; the fee is negotiable.","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044270","versionId":1044270,"submittedOn":"2026-05-07","documentName":"SOUTHEAST FINANCIAL ADVISORS SEC BROCHURE MAY 2026"}],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed","checkedAt":"2026-10-22T12:35:59.980459+00:00","documents":[{"name":"SOUTHEAST FINANCIAL ADVISORS SEC BROCHURE MAY 2026","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044270","versionId":1044270,"submittedOn":"2026-05-07"},{"name":null,"status":"not_downloaded","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1021518","versionId":1021518,"submittedOn":null}]},"custodians":[],"custodyNote":"Smith, Brian David does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brian Smith","title":"President /Chief Compliance Officer","crd":"2394812"}],"ownership":[{"label":"Brian Smith","detail":"President /chief compliance officer in the 75% or more ownership band and a control person, since November 1998."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"South Carolina","offices":1,"addresses":[{"street":"C/O 107 Manly Street","city":"Greenville","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"864-284-6511","stateRegisteredReps":2,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"251-500","assetMix":[{"label":"Exchange-traded equity securities","percent":50},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":3},{"label":"Securities issued by registered investment companies or business development companies","percent":20},{"label":"Cash and cash equivalents","percent":25}],"privateFunds":0},"sources":{"adv1FilingDate":"1 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/121757/PDF/121757.pdf","brochureDate":"7 May 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1044270","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Smith, Brian David have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Smith, Brian David offer?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How much does Smith, Brian David charge?","answer":"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","sourceRef":{"doc":"brochure","section":"fees"}},{"question":"How many financial advisors does Smith, Brian David have?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Smith, Brian David invest in?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Smith, Brian David?","answer":"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","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Smith, Brian David get paid?","answer":"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","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How do I contact Smith, Brian David?","answer":"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.","source":"Form ADV Part 1A, Item 1.F, filed 1 June 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}