DFX Intelligence

Data Factory

RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

SMARTASSET

SMARTASSET ADVISORS LLC, CRD 307375

NEW YORK, NY

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:ae17ec24-a6ff-37fe-e489-014987d767dd

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 13
On other graphs: 0
Observed: Mar 4, 2020 to Mar 20, 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 250
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
SEC number: 801-118374
CRD: 307375
Filings on the tape: 19
First filed: Mar 4, 2020
Latest filed: Mar 20, 2026
Organised: Limited Liability Company, DE

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
CARVIN, MICHAEL, ANTHONY	CHIEF EXECUTIVE OFFICER	Na	yes	02/2020	Mar 4, 2020	Mar 21, 2024
FINANCIAL INSIGHT TECHNOLOGY, INC.	PARENT COMPANY	E	yes	02/2020	Mar 4, 2020	Mar 21, 2024
JONES, DAVID, KEVIN	CHIEF FINANCIAL OFFICER	Na	yes	09/2022	Oct 12, 2022	Mar 21, 2024
KENNEDY, JAMES, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	03/2021	Mar 26, 2021	Mar 21, 2024
Lapides, Meghan, Beth	CHIEF PEOPLE OFFICER	Na	yes	01/2022	Mar 22, 2022	Mar 21, 2024
SILVIO, PEITRO, (NMN)	CHIEF TECHNOLOGY OFFICER	Na	yes	12/2022	Dec 20, 2022	Mar 21, 2024

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	Private funds	Fund GAV
2025	Mar 20, 2026	$0	$0	250	n/a	n/a
2024	Mar 20, 2025	$0	$0	212	n/a	n/a
2023	Mar 21, 2024	n/a	n/a	212	n/a	n/a
2022	Mar 22, 2023	n/a	n/a	230	n/a	n/a
2021	Mar 22, 2022	n/a	n/a	71	n/a	n/a
2020	Mar 26, 2021	n/a	n/a	59	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
2025	$0	$0	n/a	n/a	n/a	250	212	0	0

Relationships

Controls (6)

← KENNEDY, JAMES, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 26, 2021 to Mar 21, 2024factForm ADV
← CARVIN, MICHAEL, ANTHONYOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 4, 2020 to Mar 21, 2024factForm ADV
← Lapides, Meghan, BethOwnerCHIEF PEOPLE OFFICER, ownership code NA, individual
Mar 22, 2022 to Mar 21, 2024factForm ADV
← JONES, DAVID, KEVINOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 12, 2022 to Mar 21, 2024factForm ADV
← SILVIO, PEITRO, (NMN)OwnerCHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Dec 20, 2022 to Mar 21, 2024factForm ADV
← FINANCIAL INSIGHT TECHNOLOGY, INC.OwnerPARENT COMPANY, ownership code E, domestic entity
Mar 4, 2020 to Mar 21, 2024factForm ADV

Dated events

Occurred
Mar 21, 2024
Control person left
C. Christopher Taylor (Chief Marketing Officer) no longer on Schedule A of Smartasset (listed 2023-03-22, absent 2024-03-21)
Form ADVobserved 3 days ago
Occurred
Mar 21, 2024
Control person left
Anand Aniket Gune (Chief Product Officer) no longer on Schedule A of Smartasset (listed 2023-03-22, absent 2024-03-21)
Form ADVobserved 3 days ago
Occurred
Mar 22, 2023
Control person left
Philip David Frisone (Chief Revenue Officer) no longer on Schedule A of Smartasset (listed 2022-12-20, absent 2023-03-22)
Form ADVobserved 3 days ago
Occurred
Dec 20, 2022
Control person joined
(Nmn) Peitro Silvio (Chief Technology Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Oct 12, 2022
Control person joined
Kevin David Jones (Chief Financial Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Oct 12, 2022
Control person left
W Thomas Malloy (Vp, Finance And Operations) no longer on Schedule A of Smartasset (listed 2022-03-22, absent 2022-10-12)
Form ADVobserved 3 days ago
Occurred
Oct 12, 2022
Control person left
Firoze Mohamed Lafeer (Chief Technology Officer) no longer on Schedule A of Smartasset (listed 2022-03-22, absent 2022-10-12)
Form ADVobserved 3 days ago
Occurred
Mar 22, 2022
Control person joined
Beth Meghan Lapides (Chief People Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Mar 22, 2022
Control person joined
Anand Aniket Gun (Chief Product Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Mar 22, 2022
Control person joined
Firoze Mohamed Lafeer (Chief Technology Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Mar 26, 2021
Control person joined
Michael James Kennedy (Chief Compliance Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Mar 26, 2021
Control person joined
Philip David Frisone (Chief Revenue Officer) appeared on Schedule A of Smartasset
Form ADVobserved 3 days ago
Occurred
Mar 4, 2020
First Form ADV filing
Smartasset filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ae17ec24-a6ff-37fe-e489-014987d767dd
First observed: Mar 4, 2020
Last observed: Mar 20, 2026 6 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.

SMARTASSET

SMARTASSET ADVISORS LLC, CRD 307375

NEW YORK, NY

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:ae17ec24-a6ff-37fe-e489-014987d767dd

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:18 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CARVIN, MICHAEL, ANTHONY

CHIEF EXECUTIVE OFFICER

yes

02/2020

Mar 4, 2020

Mar 21, 2024

FINANCIAL INSIGHT TECHNOLOGY, INC.

PARENT COMPANY

yes

02/2020

Mar 4, 2020

Mar 21, 2024

JONES, DAVID, KEVIN

CHIEF FINANCIAL OFFICER

yes

09/2022

Oct 12, 2022

Mar 21, 2024

KENNEDY, JAMES, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

03/2021

Mar 26, 2021

Mar 21, 2024

Lapides, Meghan, Beth

CHIEF PEOPLE OFFICER

yes

01/2022

Mar 22, 2022

Mar 21, 2024

SILVIO, PEITRO, (NMN)

CHIEF TECHNOLOGY OFFICER

yes

12/2022

Dec 20, 2022

Mar 21, 2024

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

250

n/a

2024

Mar 20, 2025

212

n/a

2023

Mar 21, 2024

n/a

212

n/a

2022

Mar 22, 2023

n/a

230

n/a

2021

Mar 22, 2022

n/a

2020

Mar 26, 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

2025

n/a

250

212