DFX Intelligence

Data Factory

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

INTELLIGENT 401K, LLC

CRD 310345

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:91e18229-645c-595b-0610-be4a0cd7a104

Data as of Jun 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 6
On other graphs: 0
Observed: Aug 26, 2020 to Jun 30, 2022
18 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: $1.4MItem 5.F on the latest filing (2022-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4M
Private client RAUM: $1.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 12
Individual clients: 12
SEC number: 801-119531
CRD: 310345
Filings on the tape: 18
First filed: Aug 26, 2020
Latest filed: Jun 30, 2022
Organised: Limited Liability Company, Arizona

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
DEMAREST, STEVEN, PATRICK	CHIEF EXECUTIVE OFFICER & MEMBER	C	yes	05/2020	Sep 9, 2020	Jun 30, 2022
DEMAREST, STEVEN, PATRICK	CHIEF EXECUTIVE OFFICER	Na	yes	04/2020	Sep 9, 2020	Jun 30, 2022
FLOYD, MICHAEL, JONATHAN	President	Na	yes	04/2020	Sep 10, 2020	Jun 30, 2022
FLOYD, MICHAEL, JONATHAN	PRESIDENT & MEMBER	C	yes	05/2020	Sep 10, 2020	Jun 30, 2022
Floyd, William, H.	CHIEF INFORMATION OFFICER/CHIEF TECHNOLOGY OFFICER.	Na	yes	04/2020	Sep 9, 2020	Jun 30, 2022
HAMILTON, REBECCA, ELIZABET	Cfo	Na	yes	06/2020	Sep 9, 2020	Jun 30, 2022
INTELLIGENT401K HOLDINGS DELAWARE LLC	Member	E	yes	04/2020	Aug 26, 2020	Jun 30, 2022
SMITH, ERICKSON	CHIEF COMPLIANCE OFFICER	Na	yes	08/2020	Aug 26, 2020	Jun 30, 2022

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
2021	Mar 29, 2022	$1.4M	$1.4M	4	2	0	n/a	n/a
2020	Jan 13, 2021	$0	$0	5	1	0	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
2021	$1.4M	$0	n/a	n/a	n/a	4	5	0	0

Relationships

Controls (6)

← DEMAREST, STEVEN, PATRICKOwnerCHIEF EXECUTIVE OFFICER & MEMBER, ownership code C, individual
Sep 9, 2020 to presentfactForm ADV
← SMITH, ERICKSONOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 26, 2020 to presentfactForm ADV
← FLOYD, MICHAEL, JONATHANOwnerPRESIDENT & MEMBER, ownership code C, individual
Sep 10, 2020 to presentfactForm ADV
← HAMILTON, REBECCA, ELIZABETOwnerCFO, ownership code NA, individual
Sep 9, 2020 to presentfactForm ADV
← Floyd, William, H.OwnerCHIEF INFORMATION OFFICER/CHIEF TECHNOLOGY OFFICER., ownership code NA, individual
Sep 9, 2020 to presentfactForm ADV
← INTELLIGENT401K HOLDINGS DELAWARE LLCOwnerMEMBER, ownership code E, domestic entity
Aug 26, 2020 to presentfactForm ADV

Registered with (1)

← MICHAEL JONATHAN FLOYDAdvisorregistration: previous registration
Nov 12, 2020 to Jun 30, 2022factForm ADV

Dated events

Occurred
Jun 30, 2022
Advisor changed firm
Michael Jonathan Floyd left Intelligent 401K, Llc for Ae Wealth Management, Llc (registered 2022-09-21)
Form ADVobserved 6 days ago
Occurred
Sep 10, 2020
Control person joined
Jonathan Michael Floyd (President) appeared on Schedule A of Intelligent 401K, Llc
Form ADVobserved 6 days ago
Occurred
Sep 9, 2020
Control person joined
Patrick Steven Demarest (Chief Executive Officer) appeared on Schedule A of Intelligent 401K, Llc
Form ADVobserved 6 days ago
Occurred
Sep 9, 2020
Control person joined
H. William Floyd (President) appeared on Schedule A of Intelligent 401K, Llc
Form ADVobserved 6 days ago
Occurred
Sep 9, 2020
Control person joined
Elizabet Rebecca Hamilton (Cfo) appeared on Schedule A of Intelligent 401K, Llc
Form ADVobserved 6 days ago
Occurred
Aug 26, 2020
First Form ADV filing
Intelligent 401K, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:91e18229-645c-595b-0610-be4a0cd7a104
First observed: Aug 26, 2020
Last observed: Jun 30, 2022 51 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.

INTELLIGENT 401K, LLC

CRD 310345

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:91e18229-645c-595b-0610-be4a0cd7a104

Data as of Jun 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:58 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DEMAREST, STEVEN, PATRICK

CHIEF EXECUTIVE OFFICER & MEMBER

yes

05/2020

Sep 9, 2020

Jun 30, 2022

DEMAREST, STEVEN, PATRICK

CHIEF EXECUTIVE OFFICER

yes

04/2020

Sep 9, 2020

Jun 30, 2022

FLOYD, MICHAEL, JONATHAN

President

yes

04/2020

Sep 10, 2020

Jun 30, 2022

FLOYD, MICHAEL, JONATHAN

PRESIDENT & MEMBER

yes

05/2020

Sep 10, 2020

Jun 30, 2022

Floyd, William, H.

CHIEF INFORMATION OFFICER/CHIEF TECHNOLOGY OFFICER.

yes

04/2020

Sep 9, 2020

Jun 30, 2022

HAMILTON, REBECCA, ELIZABET

Cfo

yes

06/2020

Sep 9, 2020

Jun 30, 2022

INTELLIGENT401K HOLDINGS DELAWARE LLC

Member

yes

04/2020

Aug 26, 2020

Jun 30, 2022

SMITH, ERICKSON

CHIEF COMPLIANCE OFFICER

yes

08/2020

Aug 26, 2020

Jun 30, 2022

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2021

Mar 29, 2022

$1.4M

n/a

2020

Jan 13, 2021

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2021

$1.4M

n/a