Sml Financial Services, LLC (Lafayette)

Sml Financial Services, LLC is a large advisory firm based in Lafayette. It manages $112 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California, Colorado, and New York.

Sml Financial Services provides financial planning services, portfolio management for individuals and small businesses, pension consulting services, and selection of other advisers. It prepares financial plans for more than 10 clients. On top of advisory services, the firm doesn't engage in other business activities.

Sml Financial Services: assets under management

The assets under management (AUM) of Sml Financial Services, LLC is $112 million. The company doesn't manage any assets belonging to foreign clients.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Sml Financial Services, LLC for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and commissions. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Sml Financial Services, LLC

Sml Financial Services, LLC is owned by Gary Russell Sitzmann. William Henry Lavis joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Sitzmann Morris & Lavis	Owner	1 Oct 2007	75% - 100%	94-2661412
Nathan David White	Managing principal	1 Oct 2007	Other	4271801
Janet Jordan Powelson	Chief compliance officer	1 Oct 2007	Other	5125597
Patrick David Fleck	Chief financial officer	1 Oct 2007	Other	5136309
Matthew Mclain Sitzmann	Chief executive officer	1 Oct 2007	Other	2637191
Gary Russell Sitzmann	Owner	1 Dec 2011	25% - 50%	700501
William Henry Lavis	Owner	1 Dec 2011	Other	5261733

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Gary Russell Sitzmann	Ceo	1 Apr 1980	25% - 50%	700501
Donald Eugene Morris	President	1 Apr 1988	25% - 50%	1076088
William Henry Lavis	Senior vice president	1 Sep 2000	25% - 50%	5261733
Matthew Mclain Sitzmann	Chief operations officer	1 Jan 2005	25% - 50%	2637191

Based in Lafayette

The principal office where Sml Financial Services, LLC performs its advisory services is located at 3697 Mt. Diablo Blvd., Lafayette, CA 94549, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 510-452-0458 or by fax 510-899-0315. The normal business hours are 8:00am - 5:00pm on Monday - Friday.