Smart Wealth, LLC

RIASEC RegisteredEst. 2021

Total AUM

$686M

Discretionary

$668M

97% of AUM

Avg account

$188K

Accounts

3,660

Employees

41

Advisory reps

20

Firm details

Headquarters: Omaha, Nebraska
CRD number: 315496
Registered since: September 23, 2021
Website: retiresmartnow.com
Custodians: NATIONAL FINANCIAL SERVICES LLC, CHARLES SCHWAB & CO., INC., ALTRUIST FINANCIAL LLC
Fee structure: Percentage of AUM, Fixed Fees, Other
Client types: HNWI51.65%
Individuals35.21%
Investment Companies12.74%
Corporations / Businesses0.24%
Insurance Companies0.16%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Investment CompaniesSelection of Other AdvisersPublication of PeriodicalsEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Smart Wealth, LLC is an independent registered investment adviser organized as an LLC and operating as a capital allocator to both high-net-worth individuals/families and institutional clients. The firm offers a mix of financial planning and discretionary portfolio management across individual, small business, and investment company accounts, and it also engages in selecting third‑party advisers, publishing periodic commentary, and running educational workshops. Compensation includes AUM-based fees, fixed fees and other fee arrangements. Smart Wealth is not positioned as an ESG-focused adviser and does not report multi-state registration activity.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Asset composition

Exchange Traded Equities91%
US Government Bonds5%
Cash & Cash Equivalents4%

Owners & executives

1 of 1

David Brooks
Founder, President, CEOCRD 4000767

Contacts

3 of 19

Joshua Cheatle
Director of Wealth ManagementCRD 5732277
Sean Swanson
Financial AdvisorCRD 5041694
Michael Schudel
Financial AdvisorCRD 5389541

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 175

Active vs passive

$436M in ETFs

Passive

42%

$181M

Active

37%

$254M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
PIMCO ULTRA SHORT GOVERNMENT ACTIVE EXCHANGE-TRADED FUND (BILZ)	PIMCO	Active	Ultrashort Bond	$29M	287,474	6.66%

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Primary office

Omaha, NE

Douglas

Location

Omaha, NE

Headquartered in Omaha, NE, anchoring the Omaha-Council Bluffs-Fremont, NE-IA metro in the Midwest.

Metro area: Omaha-Council Bluffs-Fremont, NE-IA
Region: Midwest
County: Douglas
Address: 13815 Fnb Pkwy
Time zone: CT (UTC-6)
Office locations

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