W.A. SMITH FINANCIAL GROUP
SEC RegisteredCustom financial planning built around your goals
About the firm
W.A. Smith Financial Group manages money and builds income plans for retirees and pre-retirees, offering clear, strategy-based guidance built for retirement with recommendations only when they fit the client's plan.
Firm Focus
Client segments reported on the firm's SEC Form ADV — applies to all advisors at the firm.
Areas of expertise
Services
Retirement income planning and money management, including a Stoplight Analysis retirement assessment tool.
Who they serve
Retirees and pre-retirees
| Client segment | Clients | Assets managed |
|---|---|---|
| Individuals (Non-HNW) | 1,329 | $490M |
| High Net Worth Individuals | 336 | $672M |
| Charitable Organizations | 4 | $1.6M |
0 total clients reported on Form ADV.
Leadership
Office locations
Advisors at this firm
12 advisors in the directory
Regulatory & compliance
| Asset tier | Annual rate |
|---|---|
| $0 - $500,000 | 1.50% |
| $500,001 - $1,500,000 | 1.10% |
| $1,500,001 - $2,500,000 | 0.95% |
| $2,500,001 - $5,000,000 | 0.85% |
| $5,000,001 - $10,000,000 | 0.75% |
| $10,000,000+ | — |
Data as of March 31, 2026 · Source: SEC IAPD & FINRA BrokerCheck
Contact Information
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. W.A. SMITH FINANCIAL GROUP has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on the SEC or FINRA websites before making any decision.