# Stephen Smith Financial INC.: new SEC registration, $129M AUM, Schaumburg, IL

**Score:** 45/100

| 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 |

## Why this score
- $129M under management.
- Website on file.

Source: SEC monthly roster of registered investment advisers (Form ADV data) (https://adviserinfo.sec.gov/firm/summary/339402). Last refreshed: 2026-10-28T20:49:58.746Z.
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.