DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Smart401k, LLC

Former SEC-registered adviserOverland Park, KansasCRD 129208SEC 801-62494IAPD
Latest filing Mar 30, 2018
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$38.9M as of Mar 29, 2017
Mar 30, 2012$39.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 30, 2018
Jan 30, 20135 then
Employees (5.A)5 as of Mar 30, 2018
Jan 30, 20138 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2018; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Emerson Lewis Antone · Executive Vice President, General Counselcontrol
      since 03/2016 · owns less than 5%
    • Richard Edward Bloomberg · Chief Operating Officercontrol
      since 01/2013 · owns less than 5%
    • Bradley John Bunch · Presidentcontrol
      since 02/2016 · owns less than 5%
    • Lynn Craig Foster · Executive Vice President & Cfocontrol
      since 09/2017 · owns less than 5%
    • David Jonathan Robbins · Chief Compliance Officer
      since 12/2017 · owns less than 5%
    Entity owners
    • Financial Engines, Inc. · Parent
      direct · owns 75% or more · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Smart401k, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 13800.0 to unset
      Mar 9, 2018 to Mar 30, 2018
    • Advisory activities · 2 to 1
      Mar 9, 2018 to Mar 30, 2018
    • Other offices · 0 to 1
      Mar 9, 2018 to Mar 30, 2018
    • Discretionary RAUM · 38907293.0 to unset
      Mar 9, 2018 to Mar 30, 2018
    • Non-discretionary RAUM · 0.0 to unset
      Mar 9, 2018 to Mar 30, 2018
    • RAUM · 38907293.0 to unset
      Mar 9, 2018 to Mar 30, 2018
    • Other offices · unset to 0.0
      Mar 29, 2017 to Mar 9, 2018
    • Accounts · 14,900 to 13,800
      Jan 6, 2017 to Mar 29, 2017
    • Advisory employees · 4 to 3
      Jan 6, 2017 to Mar 29, 2017
    • State-registered IARs · 4 to 3
      Jan 6, 2017 to Mar 29, 2017
    • Discretionary RAUM · $52.1M to $38.9M
      Jan 6, 2017 to Mar 29, 2017
    • RAUM · $52.1M to $38.9M
      Jan 6, 2017 to Mar 29, 2017
    • Accounts · 13,648 to 14,900
      Apr 1, 2015 to Feb 1, 2016
    • Employees · 7 to 5
      Apr 1, 2015 to Feb 1, 2016
    • Discretionary RAUM · $51.2M to $52.1M
      Apr 1, 2015 to Feb 1, 2016
    • RAUM · $51.2M to $52.1M
      Apr 1, 2015 to Feb 1, 2016
    • Accounts · 10,825 to 13,648
      Dec 8, 2014 to Mar 25, 2015
    • Advisory employees · 3 to 4
      Dec 8, 2014 to Mar 25, 2015
    • Employees · 6 to 7
      Dec 8, 2014 to Mar 25, 2015
    • State-registered IARs · 3 to 4
      Dec 8, 2014 to Mar 25, 2015
    • Discretionary RAUM · $70.5M to $51.2M
      Dec 8, 2014 to Mar 25, 2015
    • RAUM · $70.5M to $51.2M
      Dec 8, 2014 to Mar 25, 2015
    • Accounts · 19 to 10,825
      May 7, 2013 to Mar 25, 2014
    • Advisory employees · 5 to 3
      May 7, 2013 to Mar 25, 2014
    • Employees · 8 to 6
      May 7, 2013 to Mar 25, 2014
    • State-registered IARs · 5 to 3
      May 7, 2013 to Mar 25, 2014
    • Discretionary RAUM · $14.5M to $70.5M
      May 7, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $29.8M to $0
      May 7, 2013 to Mar 25, 2014
    • RAUM · $44.2M to $70.5M
      May 7, 2013 to Mar 25, 2014
    • Accounts · 13 to 19
      Jan 11, 2013 to Jan 30, 2013
    • Advisory employees · 6 to 5
      Jan 11, 2013 to Jan 30, 2013
    • State-registered IARs · 6 to 5
      Jan 11, 2013 to Jan 30, 2013
    • Discretionary RAUM · $13.0M to $14.5M
      Jan 11, 2013 to Jan 30, 2013
    • Non-discretionary RAUM · $26.0M to $29.8M
      Jan 11, 2013 to Jan 30, 2013
    • RAUM · $39.0M to $44.2M
      Jan 11, 2013 to Jan 30, 2013
    • Advisory employees · unset to 6.0
      Mar 30, 2012 to Jan 11, 2013
    • Employees · unset to 8.0
      Mar 30, 2012 to Jan 11, 2013
    • State-registered IARs · unset to 6.0
      Mar 30, 2012 to Jan 11, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026