Stephen Smith Financial Inc.
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
About
The firm provides discretionary investment advisory and managed-account services to individual and high‑net‑worth clients, delivering portfolio management across stocks, bonds, mutual funds, ETFs and annuities. Services also include development and delivery of a one‑time financial plan alongside ongoing supervisory oversight of managed accounts.
Investment approach is tailored to client objectives and risk tolerances and may incorporate asset allocation, dollar‑cost averaging, technical analysis, and both long‑ and short‑term strategies; the firm may recommend unaffiliated third‑party sub‑advisors to manage all or a portion of client assets. The firm also uses internally developed artificial intelligence and machine‑learning tools to support business functions and a financial planning platform, with a human overlay and testing to limit data and security risk.
Noteworthy features include that the firm reports its assets as managed on a discretionary basis only, and it provides a single initial financial plan with additional planning available on request. A principal of the firm is also a licensed insurance agent who may offer commissionable insurance products and spends a portion of time on those activities; the firm recommends an existing custodian relationship (the brochure cites Charles Schwab) and does not vote client proxies on behalf of accounts.
Client services
Expertise
Fee options
Maximum 1.50% annually (charged monthly in arrears)
Account minimum: $500,000
Main office
1701 East Woodfield Road, Suite 810
Schaumburg IL 60173
Advisors at this office
2
Most active in
Illinois · Texas
Disclosures
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Is not active or affiliated with:
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Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
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Bank
They're affiliated with a bank that may offer its own financial products and services.
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Trust company
They provide trust and estate administration services, typically for separate fees.
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Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
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Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Advisors at this firm
Scott S
Series 65
Schaumburg, IL
Stephen Smith Financial Inc.
Scott Smith is a Series 65 licensed financial advisor with eight years of industry experience. He is affiliated with Stephen Smith Financial Inc. and has previously worked at Significant Wealth Partners LLC, Capital Management Consultants, and several other firms. In addition to his advisory role, he is involved in insurance and fixed annuity sales. Stephen Smith Financial Inc. provides discretionary investment advisory and managed-account services to individual and high-net-worth clients. The firm offers tailored investment strategies incorporating various techniques and utilizes internally developed AI and machine-learning tools to support its services.
Stephen S
Series 65
Schaumburg, IL
Stephen Smith Financial Inc.
Stephen Smith is a financial advisor with Stephen Smith Financial Inc. in Schaumburg, Illinois. He holds a Series 65 designation and has 10 years of industry experience. His prior work includes roles at Significant Wealth Partners LLC, Capital Management Consultants, Inc., and Atkins & Associates. He is also an author. Stephen Smith Financial Inc. provides discretionary investment advisory and managed-account services to individual and high-net-worth clients. The firm offers tailored portfolio management across various asset classes and utilizes AI and machine-learning tools alongside traditional financial planning methods.
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