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.
SEC-registered adviser
W.A. Smith Financial Group
Legal name Great Lakes Retirement, Inc.
Latest filing Mar 31, 2026
First filing on the tape Feb 17, 2017 · 19 filings
SEC status approved since Feb 27, 2017
RAUM
$1.2B
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$1.2B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$97.0M
derived; firm RAUM over IAPD count
Employees
27
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2026
Mar 28, 2018$218M then
HNW client RAUM$672M as of Mar 31, 2026
Mar 28, 2018$35.9M then
State-registered IARs (5.B.3)10 as of Mar 31, 2026
Mar 28, 20185 then
Employees (5.A)27 as of Mar 31, 2026
Mar 28, 20185 then
Private funds: no history
RAUM +21% over the last fiscal year+23% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $97.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $165,216derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $27.8M, 156 clientsreportedItem 9.A
- 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
- is an insurance broker or agent (6.A.6)
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$672M58%
- Individuals$490M42%
- Pension and profit-sharing plans$1.6M0.1%
- Individual clients
- 1,329reported
- HNW clients
- 336reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 7,044reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $27.8M for 156 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| William Allen Smith | Sandusky, Oh | Apr 22, 2008 | 26 y | 1 |
| Jarrett D Lang | Sandusky, Oh | Mar 27, 2013 | 14 y | 0 |
| Andrew S Toccaceli | Sandusky, Oh | Oct 9, 2013 | 16 y | 0 |
| William Joseph Lauer | Sandusky, Oh | Sep 14, 2016 | 13 y | 0 |
| Jacob D Kinsley | Sandusky, Oh | Mar 24, 2021 | 17 y | 2 |
| Nathaniel Steven Fockler | Sheffield Village, Oh | Sep 23, 2021 | 10 y | 1 |
| Zachary Adam Bush | Sheffield Village, Oh | May 31, 2022 | 14 y | 5 |
| David H Coletto | Sheffield Village, Oh | Nov 11, 2023 | 10 y | 2 |
| Matthew Brian Miller | Sandusky, Oh | Apr 15, 2025 | 13 y | 1 |
| Damon Gregory Lee | Sandusky, Oh | Apr 22, 2025 | 13 y | 2 |
| Brandon M Schaefer | Sandusky, Oh | Jun 11, 2025 | 10 y | 1 |
| Logan Edward Bolin | Sandusky, Oh | Jul 23, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Emily Anne Deconcini to Ip Financial Advisory Services LLCFeb 7, 2024 · RIA to affiliated broker-dealer or bank
- Peter Szklarz to Fidelity Personal And Workplace AdvisorsMay 13, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- Brandon M Schaefer from Thrivent Investment Management Inc.Jun 11, 2025 · Affiliated broker-dealer or bank to independent RIA
- Damon Gregory Lee from MarinerApr 22, 2025 · Affiliated broker-dealer or bank to independent RIA
- Matthew Brian Miller from Fisher InvestmentsApr 15, 2025 · RIA to RIA
- David H Coletto from LPL Financial LLCNov 11, 2023 · Affiliated broker-dealer or bank to independent RIA
- Zachary Adam Bush from J.P. Morgan Securities LLCMay 31, 2022 · Wirehouse to independent RIA
- Nathaniel Steven Fockler from UBS Financial Services Inc.Sep 23, 2021 · Wirehouse to independent RIA
- Jacob D Kinsley from Pnc Wealth ManagementMar 24, 2021 · Affiliated broker-dealer or bank to independent RIA
- Peter Szklarz from Pnc Wealth ManagementMar 13, 2018 · Other
- William Allen Smith from Great Lakes Benefits And Wealth ManagementApr 22, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Joseph Brian Petraitis · Chief Compliance Officercontrolsince 08/2024 · owns less than 5%
- Allen William Smith · Presidentcontrolsince 04/2008 · owns 75% or more
- S Andrew Toccaceli · Chief Operations Officersince 12/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sandusky, Oh · principal | 8 | 0 | 0 | ||
| Sheffield Village, Oh | 4 | 0 | 0 | ||
| Sarasota, Fl | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Independence, OH7 employees
- Sheffield Village, OH7 employees
- Sarasota, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 15.0% to 58.0% between the annual amendments of 2025-03-25 and 2026-03-31peers: independent wealth managers, $1B to $5B (1,360)
What changed
consecutive filings, newest first
- Accounts · 6,582 to 7,044Mar 25, 2025 to Mar 31, 2026
- Advisory employees · 12 to 13Mar 25, 2025 to Mar 31, 2026
- HNW clients · 251 to 336Mar 25, 2025 to Mar 31, 2026
- Individual clients · 1,317 to 1,329Mar 25, 2025 to Mar 31, 2026
- Assets in custody · $8.5M to $27.8MMar 25, 2025 to Mar 31, 2026
- Employees · 25 to 27Mar 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $899M to $1.1BMar 25, 2025 to Mar 31, 2026
- HNW RAUM · $146M to $672MMar 25, 2025 to Mar 31, 2026
- Individual RAUM · $809M to $490MMar 25, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $64.1M to $81.4MMar 25, 2025 to Mar 31, 2026
- Pension RAUM · $7.7M to $1.6MMar 25, 2025 to Mar 31, 2026
- RAUM · $963M to $1.2BMar 25, 2025 to Mar 31, 2026
- Accounts · 6,127 to 6,582Sep 10, 2024 to Mar 25, 2025
- Advisory employees · 13 to 12Sep 10, 2024 to Mar 25, 2025
- Business name · GREAT LAKES RETIREMENT, INC. to W.A. SMITH FINANCIAL GROUPSep 10, 2024 to Mar 25, 2025
- HNW clients · 173 to 251Sep 10, 2024 to Mar 25, 2025
- Individual clients · 1,247 to 1,317Sep 10, 2024 to Mar 25, 2025
- Pension plan clients · unset to 4.0Sep 10, 2024 to Mar 25, 2025
- Assets in custody · $0 to $8.5MSep 10, 2024 to Mar 25, 2025
- Custody of client assets · false to trueSep 10, 2024 to Mar 25, 2025
- Employees · 13 to 25Sep 10, 2024 to Mar 25, 2025
- Financial planning clients · 1-10 to 1-10Sep 10, 2024 to Mar 25, 2025
- Discretionary RAUM · $709M to $899MSep 10, 2024 to Mar 25, 2025
- HNW RAUM · $302M to $146MSep 10, 2024 to Mar 25, 2025
- Individual RAUM · $471M to $809MSep 10, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $67.5M to $64.1MSep 10, 2024 to Mar 25, 2025
- Pension RAUM · $3.6M to $7.7MSep 10, 2024 to Mar 25, 2025
- RAUM · $777M to $963MSep 10, 2024 to Mar 25, 2025
- Accounts · 5,718 to 6,127Dec 7, 2023 to Jan 17, 2024
- Advisory employees · 10 to 13Dec 7, 2023 to Jan 17, 2024
- Advisory activities · 4 to 5Dec 7, 2023 to Jan 17, 2024
- HNW clients · 131 to 173Dec 7, 2023 to Jan 17, 2024
- Individual clients · 1,301 to 1,247Dec 7, 2023 to Jan 17, 2024
- Employees · 10 to 13Dec 7, 2023 to Jan 17, 2024
- State-registered IARs · 9 to 10Dec 7, 2023 to Jan 17, 2024
- Discretionary RAUM · $576M to $709MDec 7, 2023 to Jan 17, 2024
- HNW RAUM · $224M to $302MDec 7, 2023 to Jan 17, 2024
- Individual RAUM · $398M to $471MDec 7, 2023 to Jan 17, 2024
- Non-discretionary RAUM · $49.3M to $67.5MDec 7, 2023 to Jan 17, 2024
- Pension RAUM · $3.2M to $3.6MDec 7, 2023 to Jan 17, 2024
Signals
8 dated events
- Jarrett D Lang no longer holds an investment adviser registration (last listed at W.A. Smith Financial Group on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Joseph Brian Petraitis (Chief Compliance Officer) appeared on Schedule A of W.A. Smith Financial GroupSep 10, 2024 · Control person joined · fact
- Emily Anne Deconcini left W.A. Smith Financial Group for Ip Financial Advisory Services Llc (registered 2024-03-13)Feb 7, 2024 · Advisor changed firm · fact
- Peter Szklarz left W.A. Smith Financial Group for Fidelity Personal And Workplace Advisors (registered 2022-06-16)May 13, 2022 · Advisor changed firm · fact
- W.A. Smith Financial Group reported RAUM $691.5M, up 28% from $541.8M (2021-03-30 to 2022-03-10)Mar 10, 2022 · RAUM change · derived
- W.A. Smith Financial Group reported RAUM $541.8M, up 32% from $410.2M (2020-07-02 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- W.A. Smith Financial Group reported RAUM $410.2M, up 41% from $290.9M (2019-03-21 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Great Lakes Retirement, Inc. filed its initial SEC registration (Form ADV)Feb 17, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/wa-smith.financial-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- m.WA- smith-financial-groupreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 419-626-8600reportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $97.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026