Smith Financial Investment Advisors, Inc.
- Regulatory AUM
- $457M
- Discretionary
- $290M
- Clients
- 159
- Avg AUM / client
- $2.9M
- Accounts
- 550
- Employees
- 5
AUM over time
Annual snapshots from Form ADV filings · as of Mar 27, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 87 | $45.9M | 10.1% |
| High net worth individuals | 72 | $251M | 55.0% |
| Pension and profit sharing plans | Fewer than 5 clients | $17.3M | 3.79% |
| Charitable organizations | Fewer than 5 clients | $142M | 31.1% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Schilling Brothers Lumber & Hardware, Inc. Profit Sharing Plan Schilling Brothers Lumber & Hardware, Inc. | 2024 |
People (3)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Aaron Taylor Smith | Chief Compliance Officer | May 2010 (16y) | Less than 5% | |
| Richard Allen Smith | President | Chartered Financial Consultant | May 2010 (16y) | 75% or more |
| Blake William Brutus | Registered representative | CFP | Jun 2020 (6y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Schilling Brothers Lumber & Hardware, Inc. Profit Sharing Plan | Schilling Brothers Lumber & Hardware, Inc. | 176 | $11.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/27/2026 | 1.05 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
Custody
Reported custodians
- Charles Schwab & Co. $418M (92% of AUM) Mar 2026
- Newport Group Securities, Inc. $25.1M (8% of AUM) Mar 2024
- Newport Group, Inc. $20.4M (8% of AUM) Jun 2020
- Fidelity Brokerage Services $10.8M (4% of AUM) Apr 2021
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 27, 2026.
View current Form ADV (SEC/IAPD) ↗