SMITH FINANCIAL

RIASEC RegisteredEst. 2010

Total AUM

$457M

Discretionary

$290M

63% of AUM

Avg account

$831K

Accounts

550

Employees

Advisory reps

Firm details

Headquarters: KOKOMO, Indiana
CRD number: 154022
Registered since: June 15, 2010
Custodians: CHARLES SCHWAB & CO., INC.
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI55.04%
Charitable Organizations31.11%
Individuals10.06%
Pension & Profit Sharing Plans3.79%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other Advisers

Firm profile

FINTRX

Overview

Smith Financial is an independent registered investment adviser that has operated since 2010 and is owned by an individual principal. The firm serves individuals and families, offering financial planning and portfolio management for both personal and small-business clients, as well as advisory services for businesses and institutions. Smith Financial acts as a capital allocator — it constructs client portfolios using pooled vehicles and third‑party managers and also performs manager selection when necessary. Investment activity centers on public funds and mutual funds as the primary core holdings, with a meaningful allocation to third‑party alternative strategies. The firm provides discretionary and non‑discretionary portfolio management, and its fee model includes asset‑based fees alongside hourly and fixed fee arrangements. Smith Financial is not positioned as an active ESG investor and does not operate as a multi‑state adviser.