Stephen Smith Financial INC.: new SEC registration, $129M AUM, Schaumburg, IL
Stephen Smith Financial INC. (Schaumburg, Illinois): new SEC registration, $129M AUM, Schaumburg, IL. Its amount of 129 is below the median of 134 (47th percentile). Dated 336 days ago, it serves as a historical benchmark. Score 45/100. As of 2026-10-28, from SEC monthly roster of registered investment advisers (Form ADV data).
Data as of · Compiled by Zalwin from SEC monthly roster of registered investment advisers (Form ADV data)
amount: 129 · 47th percentile of 1,149 NewRiaPulse records · 1.0x the median
Free preview: all 11 published fields of this record are shown below. Locked: 56 related IL NewRiaPulse records and the 6-column CSV export.
| Field | Value |
|---|---|
| Firm | Stephen Smith Financial INC. |
| Legal name | Stephen Smith Financial INC. |
| CRD | 339402 |
| Status | Approved |
| Registered with the SEC | 2025-12-03 |
| Latest Form ADV filing | 2026-07-08 |
| Location | Schaumburg, IL, United States |
| Regulatory AUM | $129,000,000 |
| Accounts | 458 |
| Employees | 4 |
| Website | https://www.stephensmithfinancial.com |
| amount percentile | 47th of 1,149 (median 134, 1.0x median) |
| Peer records CSV (57 IL records) | 🔒 Click to unlock → |
| CRM-ready export with official source URLs | 🔒 Click to unlock → |
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CSV columns: Firm · AUM · Accounts · City · State · Registered · official source URL
- Source agency: SEC monthly roster of registered investment advisers (Form ADV data)
- Record date: 2025-12-03
- Data refreshed: 2026-10-28
- Refunds on request within 14 days
Top NewRiaPulse records (IL first): Old Mission Asset Management LLC · Invision Management, INC. · Cohen Capital · Intentgen Financial Partners · Bulletproof Capital, LLC · Browse all by state and category →
LIVE PUBLIC DATA Source: SEC monthly roster of registered investment advisers (Form ADV data) · Last refreshed: Wed, 28 Oct 2026 20:49:58 GMT
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Peer benchmark and outreach value: Stephen Smith Financial INC. and 57 Illinois peers
- Illinois NewRiaPulse records like this one: 57
- Stephen Smith Financial INC.'s amount: 47th percentile of 1,149 records
- Timing: Low: older than 30 days
- Estimated pipeline if you contact every Illinois peer: $11,400 (peers × rate × deal size; an estimate from your assumptions, not a forecast)
45 / 100 Score
- $129M under management.
- Website on file.
What is the NewRiaPulse record for Stephen Smith Financial INC. in Schaumburg, Illinois?
Stephen Smith Financial INC. received SEC registration as an investment adviser (2025-12-03) with $129,000,000 in regulatory assets under management, based in Schaumburg, IL.
How does Stephen Smith Financial INC. compare to other Illinois NewRiaPulse records?
Its amount of 129 is below the median (47th percentile); smaller records often move faster and face less competition. It is 336 days old; check the official source for later updates before acting.
Stephen Smith Financial INC. vs. top 3 peers
| Organization | Location | Amount | Percentile | Record date |
|---|---|---|---|---|
| Stephen Smith Financial INC. | Schaumburg, IL | 129 | 47th | 2025-12-03 |
| Johnston Investment Counsel, LTD. | Peoria, IL | 125 | 44th | 2026-09-28 |
| Diversified Wealth Advisors, LLC | Kansas City, MO | 138 | 52nd | 2026-09-24 |
| Crosspoint Capital Management | Orinda, CA | 117 | 34th | 2026-09-22 |
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From the SEC's public monthly roster of registered investment advisers (Form ADV data). Firm level only: we leave out firms whose name is a person's name and never list individual representatives. Registration is not an endorsement by the SEC.