Data / Investment advisers / Connecticut / Smith Brothers Financial, LLC
Smith Brothers Financial, LLC, Glastonbury, CT: $1.1 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Smith Brothers Financial, LLC is an SEC registered investment adviser with its main office in Glastonbury, Connecticut and reports $1.1 billion in regulatory assets under management in its Form ADV filed October 14, 2026. Its clients include pension and profit sharing plans, high net worth individuals and individuals. It is paid through a percentage of assets under management and fixed fees.
The request: Watch Smith Brothers Financial, LLC (CRD number 322951): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 322951
- SEC file number
- 801-126687
- SEC status
- Approved, effective September 30, 2022
- Main office
- 68 National Drive, Glastonbury, CT 06033
- Phone
- (800) 426-6946
- Website
- smithbrothersfs.com
- Regulatory AUM
- $1,113,194,633 in the Form ADV filed October 14, 2026
- Discretionary AUM
- $867,539,037
- Non discretionary AUM
- $245,655,596
- Accounts
- 487
- Employees
- 7, of which 6 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- October 14, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Pension and profit sharing plans | 112 | $867.5 million |
| High net worth individuals | 80 | $162.8 million |
| Individuals (other than high net worth individuals) | 295 | $78.5 million |
| Corporations or other businesses | 5 | $3.9 million |
| Charitable organizations | 2 | $490,010 |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $1.11 billion | March 30, 2026 |
| December 1, 2025 | $999.2 million | June 26, 2025 |
Other advisers in Glastonbury
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Usi Advisors | Glastonbury | $56.28 billion | Not listed | adviserinfo.sec.gov |
| Symmetry Partners | Glastonbury | $4.73 billion | Not listed | adviserinfo.sec.gov |
| Adviceone Advisory Services, LLC | Glastonbury | $2.05 billion | Not listed | adviserinfo.sec.gov |
| Rossmore Private Capital, LLC | Glastonbury | $1.92 billion | Not listed | adviserinfo.sec.gov |
| Empower Financial Advisory, LLC | Glastonbury | $635.8 million | Not listed | adviserinfo.sec.gov |
| Greensledge Asset Management LLC | Glastonbury | $592.8 million | 1 | adviserinfo.sec.gov |
| Mark Sheptoff Financial Planning LLC | Glastonbury | $466.5 million | Not listed | adviserinfo.sec.gov |
| Briggs Wealth Management, Inc. | Glastonbury | $362 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Glastonbury, CT
- Investment advisers in Connecticut
- Advisers with $1 billion to $10 billion in AUM
- Advisers serving pension and profit sharing plans
- Advisers serving high net worth individuals
- Smith Brothers Financial, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.