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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

W.A. SMITH FINANCIAL GROUP

GREAT LAKES RETIREMENT, INC., CRD 146608

SANDUSKY, OH

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:8cc1088b-9b50-314e-522b-9656a497ecfe

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 8
On other graphs: 0
Observed: Feb 17, 2017 to Mar 31, 2026
19 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2BItem 5.F on the latest filing (2026-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.2BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 12
RAUM per advisor: $97.0Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 27
Advisory employees: 13
Offices: 3Schedule D 1.F, beyond the principal office
Accounts: 7,044
Individual clients: 1,329
High net worth clients: 336
Custody, client assets: $27.8M
SEC number: 801-110042
CRD: 146608
Filings on the tape: 19
First filed: Feb 17, 2017
Latest filed: Mar 31, 2026
Organised: Corporation, OH
Website: wasmithfinancial.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
WILLIAM ALLEN SMITH	n/a	SANDUSKY, OH	18	26	1	no
JARRETT D LANG	n/a	SANDUSKY, OH	13	14	n/a	no
ANDREW S TOCCACELI	n/a	SANDUSKY, OH	12	16	n/a	no
William Joseph Lauer	n/a	SANDUSKY, OH	10	13	n/a	no
Jacob D Kinsley	n/a	SANDUSKY, OH	5	17	2	no
NATHANIEL STEVEN FOCKLER	n/a	Sheffield Village, OH	4	10	1	no
Zachary Adam Bush	n/a	Sheffield Village, OH	4	14	5	no
David H Coletto	n/a	Sheffield Village, OH	2	10	2	no
Matthew Brian Miller	n/a	SANDUSKY, OH \| Sarasota, FL	1	13	1	no
DAMON GREGORY LEE	n/a	SANDUSKY, OH \| Sarasota, FL	1	13	2	no
Brandon M Schaefer	n/a	SANDUSKY, OH	1	10	1	no
LOGAN EDWARD BOLIN	n/a	SANDUSKY, OH \| Sheffield Village, OH	1	10	n/a	no

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
Petraitis, Brian, Joseph	CHIEF COMPLIANCE OFFICER	Na	yes	08/2024	Mar 31, 2026	Mar 31, 2026
SMITH, WILLIAM, ALLEN	President	E	yes	04/2008	Mar 31, 2026	Mar 31, 2026
TOCCACELI, ANDREW, S	CHIEF OPERATIONS OFFICER	Na	no	12/2024	Mar 31, 2026	Mar 31, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Independence	Oh	United States	7	no
SHEFFIELD VILLAGE	Oh	United States	7	no
Sarasota	FL	United States	1	no

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
2025	Mar 31, 2026	$1.2B	$1.1B	27	13	3	n/a	n/a
2024	Mar 25, 2025	$963M	$899M	25	12	3	n/a	n/a
2023	Jan 17, 2024	$777M	$709M	13	13	3	n/a	n/a
2022	Feb 22, 2023	$625M	$576M	10	10	3	n/a	n/a
2021	Mar 10, 2022	$692M	$638M	10	10	2	n/a	n/a
2020	Mar 30, 2021	$542M	$502M	7	7	2	n/a	n/a
2019	Mar 24, 2020	$410M	$377M	6	6	2	n/a	n/a
2018	Mar 21, 2019	$291M	$262M	6	6	2	n/a	n/a
2017	Mar 28, 2018	$218M	$189M	5	5	2	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	4	1

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
2025	$1.2B	$963M	20.9%	$625M	23.0%	27	25	3	3

Relationships

Registered with (14)

← LOGAN EDWARD BOLINAdvisorregistration: current employment
Jul 23, 2025 to presentfactForm ADV
← Brandon M SchaeferAdvisorregistration: current employment
Jun 11, 2025 to presentfactForm ADV
← DAMON GREGORY LEEAdvisorregistration: current employment
Apr 22, 2025 to presentfactForm ADV
← Matthew Brian MillerAdvisorregistration: current employment
Apr 15, 2025 to presentfactForm ADV
← David H ColettoAdvisorregistration: current employment
Nov 11, 2023 to presentfactForm ADV
← Zachary Adam BushAdvisorregistration: current employment
May 31, 2022 to presentfactForm ADV
← NATHANIEL STEVEN FOCKLERAdvisorregistration: current employment
Sep 23, 2021 to presentfactForm ADV
← Jacob D KinsleyAdvisorregistration: current employment
Mar 24, 2021 to presentfactForm ADV
← William Joseph LauerAdvisorregistration: current employment
Sep 14, 2016 to presentfactForm ADV
← ANDREW S TOCCACELIAdvisorregistration: current employment
Oct 9, 2013 to presentfactForm ADV
← JARRETT D LANGAdvisorregistration: current employment
Mar 27, 2013 to presentfactForm ADV
← WILLIAM ALLEN SMITHAdvisorregistration: current employment
Apr 22, 2008 to presentfactForm ADV
← Emily Anne DeConciniAdvisorregistration: previous registration
Sep 23, 2022 to Feb 7, 2024factForm ADV
← PETER SZKLARZAdvisorregistration: previous registration
Mar 13, 2018 to May 13, 2022factForm ADV

Controls (2)

← SMITH, WILLIAM, ALLENOwnerPRESIDENT, ownership code E, individual
Feb 17, 2017 to Sep 10, 2024factForm ADV
← Petraitis, Brian, JosephOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 10, 2024 to Sep 10, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 10, 2024
Control person joined
Joseph Brian Petraitis (Chief Compliance Officer) appeared on Schedule A of W.A. Smith Financial Group
Form ADVobserved 4 days ago
Occurred
Feb 7, 2024
Advisor changed firm
Emily Anne Deconcini left W.A. Smith Financial Group for Ip Financial Advisory Services Llc (registered 2024-03-13)
Form ADVobserved 4 days ago
Occurred
May 13, 2022
Advisor changed firm
Peter Szklarz left W.A. Smith Financial Group for Fidelity Personal And Workplace Advisors (registered 2022-06-16)
Form ADVobserved 4 days ago
Occurred
Mar 10, 2022
Regulatory AUM changed
W.A. Smith Financial Group reported RAUM $691.5M, up 28% from $541.8M (2021-03-30 to 2022-03-10)
Form ADVobserved 4 days ago
$150M
Occurred
Mar 30, 2021
Regulatory AUM changed
W.A. Smith Financial Group reported RAUM $541.8M, up 32% from $410.2M (2020-07-02 to 2021-03-30)
Form ADVobserved 4 days ago
$132M
Occurred
Mar 24, 2020
Regulatory AUM changed
W.A. Smith Financial Group reported RAUM $410.2M, up 41% from $290.9M (2019-03-21 to 2020-03-24)
Form ADVobserved 4 days ago
$119M
Occurred
Feb 17, 2017
First Form ADV filing
Great Lakes Retirement, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Show 1 bookkeeping events

First seen by DFX
Sep 17, 2026
date not stated
Jarrett D Lang no longer holds an investment adviser registration (last listed at W.A. Smith Financial Group on the 2026-09-16 feed)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8cc1088b-9b50-314e-522b-9656a497ecfe
First observed: Feb 17, 2017
Last observed: Mar 31, 2026 5 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.

W.A. SMITH FINANCIAL GROUP

GREAT LAKES RETIREMENT, INC., CRD 146608

SANDUSKY, OH

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:8cc1088b-9b50-314e-522b-9656a497ecfe

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:25 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

WILLIAM ALLEN SMITH

n/a

SANDUSKY, OH

JARRETT D LANG

n/a

SANDUSKY, OH

n/a

ANDREW S TOCCACELI

n/a

SANDUSKY, OH

n/a

William Joseph Lauer

n/a

SANDUSKY, OH

n/a

Jacob D Kinsley

n/a

SANDUSKY, OH

NATHANIEL STEVEN FOCKLER

n/a

Sheffield Village, OH

Zachary Adam Bush

n/a

Sheffield Village, OH

David H Coletto

n/a

Sheffield Village, OH

Matthew Brian Miller

n/a

SANDUSKY, OH | Sarasota, FL

DAMON GREGORY LEE

n/a

SANDUSKY, OH | Sarasota, FL

Brandon M Schaefer

n/a

SANDUSKY, OH

LOGAN EDWARD BOLIN

n/a

SANDUSKY, OH | Sheffield Village, OH

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Petraitis, Brian, Joseph

CHIEF COMPLIANCE OFFICER

yes

08/2024

Mar 31, 2026

SMITH, WILLIAM, ALLEN

President

yes

04/2008

Mar 31, 2026

TOCCACELI, ANDREW, S

CHIEF OPERATIONS OFFICER

12/2024

Mar 31, 2026

City

State

Country

Employees

Also broker-dealer

Independence

United States

SHEFFIELD VILLAGE

United States

Sarasota

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 31, 2026

$1.2B

$1.1B

n/a

2024

Mar 25, 2025

$963M

$899M

n/a

2023

Jan 17, 2024

$777M

$709M

n/a

2022

Feb 22, 2023

$625M

$576M

n/a

2021

Mar 10, 2022

$692M

$638M

n/a

2020

Mar 30, 2021

$542M

$502M

n/a

2019

Mar 24, 2020

$410M

$377M

n/a

2018

Mar 21, 2019

$291M

$262M

n/a

2017

Mar 28, 2018

$218M

$189M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.2B

$963M

20.9%

$625M

23.0%