{"url":"https://nivawealth.com/firms/smith-brothers-financial-322951","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/322951","regulatoryAum":1113194633,"crd":"322951","adviserRoster":{"asOf":"2026-10-09","items":[{"crd":"2550502","suffix":null,"lastName":"CAMOIN","firstName":"ANDREA","middleName":"ELIZABETH"},{"crd":"2660402","suffix":null,"lastName":"GIANTONIO","firstName":"JEFFREY","middleName":null},{"crd":"4398984","suffix":null,"lastName":"MICHAELS","firstName":"STEPHEN","middleName":"ROBERT"},{"crd":"7651755","suffix":null,"lastName":"MULCAHY","firstName":"MATTHEW","middleName":"Alan"},{"crd":"5092660","suffix":null,"lastName":"PREWITT","firstName":"TIMOTHY","middleName":"HOWARD"},{"crd":"4692642","suffix":null,"lastName":"SMITH","firstName":"JOSEPH","middleName":"BRIAN"},{"crd":"8204798","suffix":null,"lastName":"Smith","firstName":"Joseph","middleName":"Bryce"},{"crd":"6692167","suffix":null,"lastName":"Winn","firstName":"Ashley","middleName":"L."}],"total":8,"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"},"history":[{"filedOn":"2023-05-02","regulatoryAum":498001650,"clients":264,"employees":7,"offices":2},{"filedOn":"2024-03-28","regulatoryAum":846535879,"clients":299,"employees":8,"offices":2},{"filedOn":"2025-06-26","regulatoryAum":999160152,"clients":350,"employees":8,"offices":2},{"filedOn":"2026-08-30","regulatoryAum":1113194633,"clients":494,"employees":7,"offices":2}],"secFileNumber":"801-126687","legalName":"Smith 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LLC","shortName":"LPL Financial","location":"Fort Mill, SC","smaAssets":234933111},{"name":"Assetmark","shortName":"Assetmark","location":"Phoenix, AZ","smaAssets":11010599},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":10852189}],"custodyNote":"Smith Brothers Financial does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Joseph Smith","title":"Chief Executive Officer","crd":"4692642"},{"name":"Timothy Prewitt","title":"President","crd":"5092660"},{"name":"Andrea Camoin","title":"Chief Compliance Officer","crd":"2550502"},{"name":"Jeffrey Giantonio","title":"Member","crd":"2660402"},{"name":"Stephen Michaels","title":"Financial Advisor","crd":"4398984"}],"ownership":[{"label":"Joseph Smith","detail":"Chief executive officer in the 50% to 75% ownership band and a control person, since September 2022."},{"label":"Timothy Prewitt","detail":"President in the 5% to 10% ownership band and a control person, since September 2022."},{"label":"Stephen Michaels","detail":"Financial advisor in the 25% to 50% ownership band and a control person, since September 2022."},{"label":"Andrea Camoin","detail":"Chief compliance officer in the 5% to 10% ownership band and a control person, since February 2023."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":1,"privateResidences":0},"listedOfficeAddresses":2,"foreignOffices":[],"officesByState":[{"state":"Connecticut","offices":2,"addresses":[{"street":"68 National Drive","city":"Glastonbury","headquarters":true},{"street":"7 South Main Street","city":"West Hartford"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-426-6946","stateRegisteredReps":6,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses"],"financialPlanningClients":"101-250","assetMix":[{"label":"Exchange-traded equity securities","percent":21},{"label":"U.S. government/agency bonds","percent":2},{"label":"U.S. state and local bonds","percent":3},{"label":"Investment grade corporate bonds","percent":7},{"label":"Securities issued by registered investment companies or business development companies","percent":63},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":0},"sources":{"adv1FilingDate":"30 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/322951/PDF/322951.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-21","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Smith Brothers Financial have?","answer":"Smith Brothers Financial has 494 clients and manages $1.11 billion for them, as of August 2026. They include 295 individual clients, 112 pension and profit-sharing plans, and 80 high-net-worth individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Smith Brothers Financial offer?","answer":"Smith Brothers Financial provides financial planning and portfolio management for individuals and small businesses.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Smith Brothers Financial use?","answer":"Smith Brothers Financial’s separately managed account assets are held at LPL Financial LLC (Fort Mill, SC), with $235M, Assetmark (Phoenix, AZ), with $11M and Charles Schwab & Co., Inc. (Westlake, TX), with $10.9M. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 30 August 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Smith Brothers Financial have?","answer":"Smith Brothers Financial has 6 investment adviser representatives registered with state securities authorities, out of 7 employees, and 6 perform investment advisory functions. 6 employees are registered representatives of a broker-dealer and 5 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 Brothers Financial invest in?","answer":"At the end of its last fiscal year, Smith Brothers Financial’s separately managed accounts held 63% registered funds (mutual funds, ETFs, BDCs), 21% exchange-traded equities, 7% investment grade corporate bonds, 4% cash and equivalents, 3% state and local bonds and 2% U.S. government and agency 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 Brothers Financial?","answer":"Smith Brothers Financial’s direct owners are Joseph Smith (50% to 75%), Timothy Prewitt (5% to 10%), Stephen Michaels (25% to 50%) and Andrea Camoin (5% to 10%).","source":"Form ADV Part 1A, Schedules A and B, filed 30 August 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Smith Brothers Financial get paid?","answer":"Smith Brothers Financial is paid through a percentage of assets under management 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 Brothers Financial?","answer":"Smith Brothers Financial’s main office is at 68 National Drive, Glastonbury, CT 06033. Its phone number is 800-426-6946. Its website is smithbrothersfs.com.","source":"Form ADV Part 1A, Item 1.F, filed 30 August 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."}