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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

DIMENSIONAL SMARTNEST (US) LLC

CRD 155539

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:60fc806d-9adc-d711-99f4-21c168ed14bb

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Mar 31, 2014
8 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $32.0MItem 5.F on the latest filing (2014-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $32.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 5
Accounts: 144
SEC number: 801-71943
CRD: 155539
Filings on the tape: 8
First filed: Mar 6, 2012
Latest filed: Mar 31, 2014
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BOOTH, DAVID, GILBERT	CHAIRMAN, PRESIDENT, CO-CHIEF EXECUTIVE OFFICER	C	yes	10/2006	Mar 6, 2012	Mar 31, 2014
BOOTH, DAVID, GILBERT	President	Na	yes	09/2010	Mar 6, 2012	Mar 31, 2014
CHEN, PENG	Chairman	Na	yes	07/2012	Aug 1, 2012	Mar 31, 2014
DIMENSIONAL FUND ADVISORS LP	MANAGING MEMBER	E	yes	11/2009	Mar 6, 2012	Mar 31, 2014
DIMENSIONAL HOLDINGS INC	SOLE MEMBER	E	yes	11/2006	Mar 6, 2012	Mar 31, 2014
DIMENSIONAL HOLDINGS INC	GENERAL PARTNER	E	yes	11/2006	Mar 6, 2012	Mar 31, 2014
DIMENSIONAL HOLDINGS LLC	LIMITED PARTNER	E	yes	11/2006	Mar 6, 2012	Mar 31, 2014
DIMENSIONAL SMARTNEST LLC	MANAGING MEMBER	E	yes	09/2010	Mar 6, 2012	Mar 31, 2014
LANE, MICHAEL, FARRIN	CHIEF EXECUTIVE OFFICER	Na	yes	07/2012	Aug 1, 2012	Mar 31, 2014
CROSSAN, CHRISTOPHER, SCOTT	VICE PRESIDENT AND GLOBAL CHIEF COMPLIANCE OFFICER	Na	no	09/2010	Mar 6, 2012	Mar 31, 2014
MARTIN, DAVID, ROBERT	VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER	Na	no	09/2010	Mar 6, 2012	Mar 31, 2014
NEWELL, CATHERINE, LEE	VICE PRESIDENT AND SECRETARY	Na	no	09/2010	Mar 6, 2012	Mar 31, 2014

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
DIMENSIONAL FUND ADVISORS LP	n/a	Asset manager	$1020B	Y	yes	n/a
DIMENSIONAL FUND ADVISORS LTD	n/a	Asset manager	$365B	N	yes	n/a
DFA AUSTRALIA LIMITED	n/a	Asset manager	$362B	N	yes	n/a
DFA SECURITIES LLC	n/a	n/a	n/a	N	yes	n/a
DIMENSIONAL FUND ADVISORS CANADA ULC	n/a	n/a	n/a	N	yes	n/a
DIMENSIONAL FUND ADVISORS PTE. LTD.	n/a	n/a	n/a	N	yes	n/a
DIMENSIONAL JAPAN LTD.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 31, 2014	$32.0M	$32.0M	14	5	n/a	n/a	n/a
2012	Apr 1, 2013	$11.9M	$11.9M	17	5	n/a	n/a	n/a
2011	Mar 30, 2012	$5.4M	$5.4M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$32.0M	$11.9M	169.3%	n/a	n/a	14	17	n/a	n/a

Relationships

Affiliated with (3)

→ DIMENSIONAL FUND ADVISORS LPRegistered adviserother investment adviser, bank, control, common control
factForm ADV
→ DIMENSIONAL FUND ADVISORS LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ DFA AUSTRALIA LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (6)

← BOOTH, DAVID, GILBERTOwnerCHAIRMAN, PRESIDENT, CO-CHIEF EXECUTIVE OFFICER, ownership code C, individual
Mar 6, 2012 to presentfactForm ADV
← DIMENSIONAL FUND ADVISORS LPOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV
← LANE, MICHAEL, FARRINOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Aug 1, 2012 to presentfactForm ADV
← CHEN, PENGOwnerCHAIRMAN, ownership code NA, individual
Aug 1, 2012 to presentfactForm ADV
← DIMENSIONAL HOLDINGS INCOwnerGENERAL PARTNER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV
← DIMENSIONAL SMARTNEST LLCOwnerMANAGING MEMBER, ownership code E, domestic entity
Mar 6, 2012 to presentfactForm ADV

Owns (3)

← NEWELL, CATHERINE, LEEOwnerVICE PRESIDENT AND SECRETARY, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← MARTIN, DAVID, ROBERTOwnerVICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← CROSSAN, CHRISTOPHER, SCOTTOwnerVICE PRESIDENT AND GLOBAL CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV

Registered with (4)

← MICHAEL FARRIN LANEAdvisorregistration: previous registration
Sep 4, 2012 to Oct 30, 2014factForm ADV
← LUKAS JAMES SMARTAdvisorregistration: previous registration
Dec 2, 2013 to Oct 30, 2014factForm ADV
← JED STEVEN FOGDALLAdvisorregistration: previous registration
Dec 2, 2013 to Oct 30, 2014factForm ADV
← DAVID KEITH CAMPBELLAdvisorregistration: previous registration
Mar 7, 2012 to Dec 18, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:60fc806d-9adc-d711-99f4-21c168ed14bb
First observed: Mar 6, 2012
Last observed: Mar 31, 2014 151 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DIMENSIONAL SMARTNEST (US) LLC

CRD 155539

AUSTIN, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:60fc806d-9adc-d711-99f4-21c168ed14bb

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BOOTH, DAVID, GILBERT

CHAIRMAN, PRESIDENT, CO-CHIEF EXECUTIVE OFFICER

yes

10/2006

Mar 6, 2012

Mar 31, 2014

BOOTH, DAVID, GILBERT

President

yes

09/2010

Mar 6, 2012

Mar 31, 2014

CHEN, PENG

Chairman

yes

07/2012

Aug 1, 2012

Mar 31, 2014

DIMENSIONAL FUND ADVISORS LP

MANAGING MEMBER

yes

11/2009

Mar 6, 2012

Mar 31, 2014

DIMENSIONAL HOLDINGS INC

SOLE MEMBER

yes

11/2006

Mar 6, 2012

Mar 31, 2014

DIMENSIONAL HOLDINGS INC

GENERAL PARTNER

yes

11/2006

Mar 6, 2012

Mar 31, 2014

DIMENSIONAL HOLDINGS LLC

LIMITED PARTNER

yes

11/2006

Mar 6, 2012

Mar 31, 2014

DIMENSIONAL SMARTNEST LLC

MANAGING MEMBER

yes

09/2010

Mar 6, 2012

Mar 31, 2014

LANE, MICHAEL, FARRIN

CHIEF EXECUTIVE OFFICER

yes

07/2012

Aug 1, 2012

Mar 31, 2014

CROSSAN, CHRISTOPHER, SCOTT

VICE PRESIDENT AND GLOBAL CHIEF COMPLIANCE OFFICER

09/2010

Mar 6, 2012

Mar 31, 2014

MARTIN, DAVID, ROBERT

VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER

09/2010

Mar 6, 2012

Mar 31, 2014

NEWELL, CATHERINE, LEE

VICE PRESIDENT AND SECRETARY

09/2010

Mar 6, 2012

Mar 31, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DIMENSIONAL FUND ADVISORS LP

n/a

Asset manager

$1020B

yes

n/a

DIMENSIONAL FUND ADVISORS LTD

n/a

Asset manager

$365B

yes

n/a

DFA AUSTRALIA LIMITED

n/a

Asset manager

$362B

yes

n/a

DFA SECURITIES LLC

n/a

yes

n/a

DIMENSIONAL FUND ADVISORS CANADA ULC

n/a

yes

n/a

DIMENSIONAL FUND ADVISORS PTE. LTD.

n/a

yes

n/a

DIMENSIONAL JAPAN LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Mar 31, 2014

$32.0M

n/a

2012

Apr 1, 2013

$11.9M

n/a

2011

Mar 30, 2012

$5.4M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$32.0M

$11.9M

169.3%

n/a