Data / Investment advisers / Indiana / Smith Financial
Smith Financial, Kokomo, IN: $457 million AUM, SEC registered investment adviser
Smith Financial is an SEC registered investment adviser with its main office in Kokomo, Indiana and reports $457 million in regulatory assets under management in its Form ADV filed March 27, 2026. Its clients include high net worth individuals, charitable organizations and individuals. It is paid through a percentage of assets under management, hourly charges and fixed fees.
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- Registration
- SEC registered investment adviser
- CRD number
- 154022
- SEC file number
- 801-71492
- SEC status
- Approved, effective June 15, 2010
- Legal name
- Smith Financial Investment Advisors, Inc.
- Main office
- 1830 S. Plate St., Kokomo, IN 46902
- Phone
- (765) 459-4111
- Website
- smithfinancial.com
- Regulatory AUM
- $456,904,847 in the Form ADV filed March 27, 2026
- Discretionary AUM
- $289,581,775
- Non discretionary AUM
- $167,323,072
- Accounts
- 550
- Employees
- 5, of which 5 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management, hourly charges, fixed fees
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 27, 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 |
|---|---|---|
| High net worth individuals | 72 | $251.5 million |
| Charitable organizations | Fewer than 5 | $142.1 million |
| Individuals (other than high net worth individuals) | 87 | $45.9 million |
| Pension and profit sharing plans | Fewer than 5 | $17.3 million |
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 | $456.9 million | March 27, 2026 |
| December 1, 2025 | $378 million | March 26, 2025 |
Other advisers in Indiana
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Reify Wealth Advisors, Inc. | Indianapolis | $524.4 million | Not listed | adviserinfo.sec.gov |
| Pathway Financial Advisers, LLC | Auburn | $524.2 million | Not listed | adviserinfo.sec.gov |
| Cid Capital II, Inc. | Carmel | $515.8 million | 5 | adviserinfo.sec.gov |
| Monarch Capital Management Inc | Fort Wayne | $495.7 million | Not listed | adviserinfo.sec.gov |
| The Wellington GRP LLC | Indianapolis | $473.6 million | 1 | adviserinfo.sec.gov |
| Mindset Wealth Management, LLC | Indianapolis | $445.5 million | Not listed | adviserinfo.sec.gov |
| Dickmeyer Boyce Financial Management, Inc | Fort Wayne | $438.5 million | Not listed | adviserinfo.sec.gov |
| Storen Financial | Zionsville | $438.3 million | Not listed | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Indiana
- Advisers with $100 million to $500 million in AUM
- Advisers serving high net worth individuals
- Advisers serving charitable organizations
- Smith Financial on the SEC's adviser search
Updated November 7, 2026. Read from the SEC's Form ADV data files for investment advisers. 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.