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

Dimensional Smartnest (US) LLC

Former SEC-registered adviserAustin, TexasCRD 155539SEC 801-71943IAPD
Latest filing Mar 31, 2014
First filing on the tape Mar 6, 2012 · 8 filings
RAUM
$32.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$32.0M as of Mar 31, 2014
Mar 30, 2012$5.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Mar 31, 2014
Apr 1, 20133 then
Employees (5.A)14 as of Mar 31, 2014
Apr 1, 201317 then
Private funds: no history
RAUM +169% over the last fiscal yearIARs 3 to 5
Practice profile
derived from the filing of Mar 31, 2014; every figure names its basis
RAUM per advisor
$6.4MderivedRAUM 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
$221,928derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.8derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+169%derivedbetween the last two annual amendments
Advisor growth, one year
+67%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
144reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gilbert David Booth · Presidentcontrol
    since 09/2010 · owns less than 5%
  • Peng Chen · Chairmancontrol
    since 07/2012 · owns less than 5%
  • Farrin Michael Lane · Chief Executive Officercontrol
    since 07/2012 · owns less than 5%
  • Gilbert David Booth · Chairman, President, Co-Chief Executive Officercontrol
    since 10/2006 · owns 25% to 50% of Dimensional Holdings Inc
  • Scott Christopher Crossan · Vice President And Global Chief Compliance Officer
    since 09/2010 · owns less than 5%
  • Robert David Martin · Vice President, Chief Financial Officer And Treasurer
    since 09/2010 · owns less than 5%
  • Lee Catherine Newell · Vice President And Secretary
    since 09/2010 · owns less than 5%
Entity owners
  • Dimensional Smartnest LLC · Managing Member
    direct · owns 75% or more
  • Dimensional Fund Advisors LP · Managing Member
    indirect · owns 75% or more of Dimensional Smartnest LLC
  • Dimensional Holdings Inc · General Partner
    indirect · owns 75% or more of Dimensional Fund Advisors LP
  • Dimensional Holdings Inc · Sole Member
    indirect · owns 75% or more of Dimensional Holdings LLC
  • Dimensional Holdings LLC · Limited Partner
    indirect · owns 75% or more of Dimensional Fund Advisors LP
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 5 to 144
    Feb 25, 2014 to Mar 31, 2014
  • Advisory employees · 9 to 5
    Feb 25, 2014 to Mar 31, 2014
  • Advisory activities · 1 to 2
    Feb 25, 2014 to Mar 31, 2014
  • BD registered reps · 7 to 8
    Feb 25, 2014 to Mar 31, 2014
  • Employees · 18 to 14
    Feb 25, 2014 to Mar 31, 2014
  • State-registered IARs · 4 to 5
    Feb 25, 2014 to Mar 31, 2014
  • Discretionary RAUM · $13.2M to $32.0M
    Feb 25, 2014 to Mar 31, 2014
  • RAUM · $13.2M to $32.0M
    Feb 25, 2014 to Mar 31, 2014
  • Advisory employees · 5 to 9
    Apr 1, 2013 to May 31, 2013
  • BD registered reps · 5 to 7
    Apr 1, 2013 to May 31, 2013
  • Business name · DIMENSIONAL RETIREMENT to DIMENSIONAL SMARTNEST (US) LLC
    Apr 1, 2013 to May 31, 2013
  • Employees · 17 to 18
    Apr 1, 2013 to May 31, 2013
  • Insurance-licensed employees · 3 to 1
    Apr 1, 2013 to May 31, 2013
  • Financial planning clients · 0 to unset
    Apr 1, 2013 to May 31, 2013
  • State-registered IARs · 3 to 4
    Apr 1, 2013 to May 31, 2013
  • Discretionary RAUM · $11.9M to $13.2M
    Apr 1, 2013 to May 31, 2013
  • RAUM · $11.9M to $13.2M
    Apr 1, 2013 to May 31, 2013
  • Related bank · false to true
    Apr 1, 2013 to May 31, 2013
  • Accounts · 1 to 5
    Aug 1, 2012 to Apr 1, 2013
  • Advisory employees · unset to 5.0
    Aug 1, 2012 to Apr 1, 2013
  • Advisory activities · 2 to 1
    Aug 1, 2012 to Apr 1, 2013
  • BD registered reps · unset to 5.0
    Aug 1, 2012 to Apr 1, 2013
  • Employees · unset to 17.0
    Aug 1, 2012 to Apr 1, 2013
  • Insurance-licensed employees · 1 to 3
    Aug 1, 2012 to Apr 1, 2013
  • Financial planning clients · 1-10 to 0
    Aug 1, 2012 to Apr 1, 2013
  • State-registered IARs · unset to 3.0
    Aug 1, 2012 to Apr 1, 2013
  • Discretionary RAUM · $5.4M to $11.9M
    Aug 1, 2012 to Apr 1, 2013
  • RAUM · $5.4M to $11.9M
    Aug 1, 2012 to Apr 1, 2013
  • Insurance-licensed employees · 2 to 1
    Mar 6, 2012 to Mar 30, 2012
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