SMARTASSET
SMARTASSET ADVISORS LLC Legal Name
Adviser information for SMARTASSET last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 212 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $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 | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| 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 |
Services
| Advisory Services | SMARTASSET REFERS CONSUMERS TO FINANCIAL ADVISERS |
|---|---|
| Compensation | REFERRAL FEES FROM OTHER RIAS |
Identifiers
| SEC RIA File Number | 801-118374 |
|---|---|
| SEC ERA File Number | 801-118374 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307375 |
| Legal Entity Identifier | None |
Principal Office
122 EAST 42ND STSUITE 4300
NEW YORK
NY
United States
Monday - Friday, 9:00AM TO 8:00PM
Tel: 646-360-0802, Fax: None
Chief Compliance Officer
JAMES KENNEDY
122 EAST 42ND ST
SUITE 4300
NEW YORK
NY
United States
Tel:
646-360-0802
J*******@*************M
(Full email address available in API data)
Regulatory Contact
MICHAEL CARVIN
CEO
122 EAST 42ND ST
SUITE 4300
NEW YORK
NY
United States
Tel:
914-552-7944
M******@*************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CARVIN, MICHAEL, ANTHONY | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2020 | < 5% |
| FINANCIAL INSIGHT TECHNOLOGY, INC. | Domestic Entity | – | PARENT COMPANY | 02/2020 | > 75% |
| KENNEDY, JAMES, MICHAEL | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2021 | < 5% |
| Lapides, Meghan, Beth | Individual | – | CHIEF PEOPLE OFFICER | 01/2022 | < 5% |
| JONES, DAVID, KEVIN | Individual | – | CHIEF FINANCIAL OFFICER | 09/2022 | < 5% |
| SILVIO, PEITRO, (NMN) | Individual | – | CHIEF TECHNOLOGY OFFICER | 12/2022 | < 5% |