Stephen Smith Financial Inc.
● SEC registered since 2025CRD 339402SEC# 801-134877Schaumburg, IL
Reg. AUM
$129M
Employees
4
Accounts
458
Location
Schaumburg, IL
Stephen Smith Financial Inc. assets under management
Stephen Smith Financial Inc. operates as an SEC-registered investment adviser based in Schaumburg, IL. The firm has been registered since 2025. It reports $129 million in regulatory assets under management and employs 4 people.
Stephen Smith Financial Inc. owners & executives
1 reported| Name | Title | Ownership | Since |
|---|---|---|---|
| Stephen Richard Smith Control | President / Cco | Over 75% | 2025 |
Frequently asked questions
How much does Stephen Smith Financial Inc. manage?
Stephen Smith Financial Inc. reports $129 million in regulatory assets under management on its Form ADV.
How many employees does Stephen Smith Financial Inc. have?
Stephen Smith Financial Inc. reports 4 employees.
Where is Stephen Smith Financial Inc. located?
Stephen Smith Financial Inc. is based in Schaumburg, IL and has been SEC-registered since 2025.
Does Stephen Smith Financial Inc. disclose fund performance?
Stephen Smith Financial Inc. is not required to publicly disclose fund returns. Form ADV filings include assets, ownership, and service providers, shown above.
Contact & registration
| Address | 1701 East Woodfield Road, Suite 810, Schaumburg, IL 60173 |
| Phone | 847-337-1022 |
| Office hours | By Appointment |
| SEC region | Chicago Regional Office (CHRO) |
| Discloses disciplinary history | No |
Regulatory AUM
$129MNo change
Mar '26Form ADV, monthlyJun '26
How this firm compares
Regulatory AUMTop 87%
Larger than 13% of 16,271 advisers
EmployeesTop 69%
More than 31% of 16,825 advisers
Assets under management
$129Mregulatory AUM
Discretionary $129M