SMART WEALTH, LLC
Adviser information for SMART WEALTH, LLC last updated from Form ADV on March 27th, 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 | Nebraska, United States |
Employees
| Total Number of Employees | 35 |
|---|---|
| Investment Advisory/Research | 12 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 12 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 2,642 | $288.8M |
| Non-Discretionary | 68 | $14.2M |
| Total | 2,710 | $302.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 507 | $104.7M |
| HNW Individuals | 183 | $196.9M |
| 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 | <5 | $1.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesEducational seminars/workshops |
|---|---|
| Compensation | % of AUMFINANCIAL PLANNING FEE |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-122372 |
|---|---|
| SEC ERA File Number | 801-122372 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 315496 |
| Legal Entity Identifier | None |
Principal Office
13815 FNB PARKWAY, SUITE 400OMAHA
NE
United States
Monday - Friday, 8-5PM
Tel: 402-369-7777, Fax: None
Chief Compliance Officer
LOUIS R. BROOKS
13815 FNB PARKWAY
SUITE 400
OMAHA
NE
United States
Tel:
4023697777
L*********@*****************M
(Full email address available in API data)
Regulatory Contact
DAVID BROOKS
PRESIDENT
13815 FNB PARKWAY
SUITE 400
OMAHA
NE
United States
Tel:
402-369-7777
D****@*****************M
(Full email address available in API data)
Industry Affiliates
| ASSURANCE INSURANCE LLC, (DBA SMART PROTECTION | Insurance company or agency |
| DMDN INSURANCE COMPANY, INC. | Insurance company or agency |
| RETIRE SMART LLC. | Insurance company or agency |
| TAX SMART LLC. | Accountant or accounting firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BROOKS, DAVID, ANDREW | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2020 | > 75% |
| Brooks, Louis, Rutherford | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2022 | < 5% |