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. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. 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.