Hillspring Financial, Inc. (Surprise)


Hillspring Financial, Inc. is an adviser based in Surprise. It manages $20.36 million of regulatory assets for 250 client accounts. It has been registered with the SEC as an adviser since 2008.

Hillspring Financial provides financial planning services and portfolio management for individuals and small businesses. It prepares financial plans for more than 50 clients. On top of advisory services, the firm doesn't engage in other business activities.

Hillspring Financial: assets under management

The assets under management (AUM) of Hillspring Financial, Inc. is $20.36 million. The firm's AUM has gone down by -39% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $19.49 million in discretionary accounts and $868.92 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $111.36 thousand each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $11.59 thousand.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Hillspring Financial, Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Hillspring Financial, Inc.

Max Wayne Smith has been acting as President since 1 Jul 2003. Kent Garry Forsey joined the executive team most recently as the Sr. Vice President.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Max Wayne Smith Chairman 1 Jul 2003 50% - 75% 1156307
Tucker Max Smith President/ chief compliance officer 1 Jul 2003 25% - 50% 2533874
Lana D Magee Chief financial officer 1 May 2008 Other 5660131
Kent Garry Forsey Sr. vice president 1 Sep 2010 Other 1514412

Based in Surprise

The principal office where Hillspring Financial, Inc. performs its advisory services is located at 12213 W. Bell Road, Surprise, AZ 85378, 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 623-583-6141 or by fax 623-583-6152. The normal business hours are 8:00 am - 5:00 pm on Other. You can find more information about the New York firm at www.hillspringfinancial.com.

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