A SMARTER WAY TO INVEST, INC.
Adviser information for A SMARTER WAY TO INVEST, INC. last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Michigan, United States |
Employees
| Total Number of Employees | 8 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 5 |
| Licensed Agents of an Insurance Company | 4 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 572 | $84.5M |
| Non-Discretionary | 1 | $278,500 |
| Total | 573 | $84.8M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $278,500 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $84.5M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 60.0M |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| CAITLIN JOHN WRAP FEE PROGRAM | CAITLIN JOHN |
Identifiers
| SEC RIA File Number | 801-110895 |
|---|---|
| SEC ERA File Number | 801-110895 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 166170 |
| Legal Entity Identifier | None |
Principal Office
1024 E. GRAND RIVER AVESUITE B
BRIGHTON
MI
United States
Monday - Friday, 8:30AM - 4:30PM ET M-T, 8:30AM - 2:30PM ET F
Tel: 810-588-6178, Fax: 810-227-2558
Websites
Chief Compliance Officer
JERRY B. MOORE
EXECUTIVE DIRECTOR OF REGISTRATION AND COMPLIANCE
1024 E GRAND RIVER AVE
BRIGHTON
MI
United States
Tel:
810-215-9307
Fax:
810-227-2558
J*****@*******************M
(Full email address available in API data)
Industry Affiliates
| CAITLIN JOHN | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BRIGGS, RONALD, JOHN | Individual | – | CHIEF EXECUTIVE OFFICER | 11/2012 | 50-75% |
| MOORE, JERRY BRUCE | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |