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

Smart Wealth, LLC

Independent wealth managerOmaha, NebraskaCRD 315496SEC 801-122372websiteIAPD
Latest filing Aug 31, 2026
First filing on the tape Aug 24, 2021 · 29 filings
SEC status approved since Sep 23, 2021
RAUM
$686M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
87%
$596M individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$34.3M
derived; firm RAUM over IAPD count
Employees
41
17 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$686M as of Aug 31, 2026
Feb 18, 2022$169M then
HNW client RAUM$355M as of Aug 31, 2026
Feb 18, 2022$78.4M then
State-registered IARs (5.B.3)19 as of Aug 31, 2026
Feb 18, 20224 then
Employees (5.A)41 as of Aug 31, 2026
Feb 18, 202221 then
Private funds: no history
RAUM +56% over the last fiscal year+48% a year over threeIARs 16 to 19
Practice profile
derived from the filing of Aug 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
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$34.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
50derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.0MderivedHNW RAUM over HNW clients
Average account
$187,544derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
10.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+44%derivedbetween the last two annual amendments
Advisor growth, one year
+19%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for investment companies, selection of other advisers, publications, educational seminars, otherreportedItem 5.G
Financial planning clients
1,000reportedItem 5.H
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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • marketing includes testimonials (5.L.1.c)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$355M52%
  • Individuals$242M35%
  • Investment companies$87.4M13%
  • Corporations and businesses$1.6M0.2%
  • Insurance companies$1.1M0.2%
Individual clients
651reported
HNW clients
339reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,660reported
Financial planning clients
1,000reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.87 fund_share=0.13 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Michael Lee SchudelCertified Financial Planner, Chartered Financial ConsultantOmaha, NeOct 21, 202118 y3
Alexander Joseph MurrayOmaha, NeOct 28, 202114 y0
David Andrew BrooksOmaha, NeJan 7, 202227 y10
Sean Patrick SwansonOmaha, NeJan 19, 202237 y5
Blake Neil GrimmOmaha, NeJul 12, 202214 y0
Bradley P StarkenOmaha, NeDec 13, 202214 y3
Paul Michael FergusonOmaha, NeJul 6, 202312 y0
Jacob John OrandOmaha, NeAug 10, 202313 y0
Dawson James EmondOmaha, NeSep 3, 202412 y0
Joshua Turner CheatleOmaha, NeDec 23, 202415 y2
Taylor Edward AndersonOmaha, NeFeb 3, 202511 y0
Scott Stephen ArehartOmaha, NeFeb 11, 202515 y0
Jon Dallas MurrayOmaha, NeMay 27, 202511 y0
Riley Michelle VigilOmaha, NeSep 29, 202510 y0
Jeremy Jordan Love ShamblenOmaha, NeDec 23, 202511 y1
Treshon Anthony IngramOmaha, NeJan 16, 202616 y1
Ian Michael SwansonOmaha, NeMar 13, 202611 y0
Grant Michael Behne-RyanOmaha, NeMar 16, 202610 y0
Karver Lee MillerOmaha, NeJul 15, 202610 y0
Brady Roman ChristiansenOmaha, NeSep 2, 202610 y0
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 5.0% of current headcount9 left over 36 months
Left, latest
Joined, latest
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
    • Andrew David Brooks · Chief Executive Officercontrol
      since 10/2020 · owns 75% or more
    • Rutherford Louis Brooks · Chief Compliance Officer
      since 09/2022 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Dmdn Insurance Company, Inc.
      real estatey
    • Financially Smart LLC.
      insurancey
    • Retire Smart LLC.
      real estatey
    • Tax Smart LLC.
      insurancey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Omaha, Ne · principal2071
    Henderson, Nv000
    Offices
    Schedule D 1.F, the 25 largest
    • Henderson, NV2 employees
    • Cincinnati, NE1 employees
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • HNW share shiftChange between filings · filing Apr 16, 2026
      HNW share of RAUM moved from 73.0% to 56.0% between the annual amendments of 2025-04-02 and 2026-04-16
      peers: independent wealth managers, $500M to $1B (1,483)
    • RAUM up 25 %Change between filings · filing Apr 16, 2026
      RAUM (Item 5.F) moved from $439,967,840 to $632,340,216 (+44.0%) between the annual amendments of 2025-04-02 and 2026-04-16; the peer median change was +16.0% (1386 comparable advisers, 92.0th percentile of changes)
      peers: independent wealth managers, $500M to $1B (1,386) · 92% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $614M to $668M
      Apr 16, 2026 to Jul 23, 2026
    • RAUM · $632M to $686M
      Apr 16, 2026 to Jul 23, 2026
    • Advisory employees · 16 to 17
      Sep 10, 2025 to Mar 31, 2026
    • Accounts · 3,291 to 3,660
      Sep 10, 2025 to Mar 31, 2026
    • Corporate clients · unset to 18.0
      Sep 10, 2025 to Mar 31, 2026
    • HNW clients · 325 to 339
      Sep 10, 2025 to Mar 31, 2026
    • Individual clients · 564 to 651
      Sep 10, 2025 to Mar 31, 2026
    • Employees · 45 to 41
      Sep 10, 2025 to Mar 31, 2026
    • Financial planning clients · 251-500 to More than 500
      Sep 10, 2025 to Mar 31, 2026
    • State-registered IARs · 16 to 19
      Sep 10, 2025 to Mar 31, 2026
    • Discretionary RAUM · $432M to $614M
      Sep 10, 2025 to Mar 31, 2026
    • HNW RAUM · $323M to $355M
      Sep 10, 2025 to Mar 31, 2026
    • Individual RAUM · $115M to $242M
      Sep 10, 2025 to Mar 31, 2026
    • Non-discretionary RAUM · $16.9M to $18.2M
      Sep 10, 2025 to Mar 31, 2026
    • RAUM · $448M to $632M
      Sep 10, 2025 to Mar 31, 2026
    • Advisory activities · 4 to 7
      Apr 2, 2025 to Sep 10, 2025
    • Discretionary RAUM · $423M to $432M
      Apr 2, 2025 to Sep 10, 2025
    • RAUM · $440M to $448M
      Apr 2, 2025 to Sep 10, 2025
    • Accounts · 2,710 to 3,291
      Sep 17, 2024 to Apr 2, 2025
    • Advisory employees · 12 to 16
      Sep 17, 2024 to Apr 2, 2025
    • Advisory activities · 3 to 4
      Sep 17, 2024 to Apr 2, 2025
    • HNW clients · 183 to 325
      Sep 17, 2024 to Apr 2, 2025
    • Individual clients · 507 to 564
      Sep 17, 2024 to Apr 2, 2025
    • Employees · 35 to 45
      Sep 17, 2024 to Apr 2, 2025
    • Financial planning clients · More than 500 to 251-500
      Sep 17, 2024 to Apr 2, 2025
    • State-registered IARs · 12 to 16
      Sep 17, 2024 to Apr 2, 2025
    • Other offices · 2 to 1
      Sep 17, 2024 to Apr 2, 2025
    • Discretionary RAUM · $289M to $423M
      Sep 17, 2024 to Apr 2, 2025
    • HNW RAUM · $197M to $323M
      Sep 17, 2024 to Apr 2, 2025
    • Individual RAUM · $105M to $115M
      Sep 17, 2024 to Apr 2, 2025
    • Non-discretionary RAUM · $14.2M to $16.9M
      Sep 17, 2024 to Apr 2, 2025
    • RAUM · $303M to $440M
      Sep 17, 2024 to Apr 2, 2025
    • Other offices · 1 to 2
      Jul 23, 2024 to Sep 12, 2024
    • Other offices · 0 to 1
      Jul 10, 2024 to Jul 23, 2024
    • Accounts · 2,099 to 2,710
      Dec 13, 2023 to Mar 27, 2024
    • Advisory employees · 9 to 12
      Dec 13, 2023 to Mar 27, 2024
    • HNW clients · 231 to 183
      Dec 13, 2023 to Mar 27, 2024
    • Individual clients · 295 to 507
      Dec 13, 2023 to Mar 27, 2024
    • State-registered IARs · 10 to 12
      Dec 13, 2023 to Mar 27, 2024
    • Discretionary RAUM · $203M to $289M
      Dec 13, 2023 to Mar 27, 2024
    Signals
    15 dated events
    • Smart Wealth, Llc reported RAUM $632.3M, up 41% from $448.4M (2025-09-10 to 2026-03-31)
      Mar 31, 2026 · RAUM change · derived
    • Darrin Patrick Worthington left Smart Wealth, Llc for Lifeworks Advisors, Llc (registered 2026-01-09)
      Oct 13, 2025 · Advisor changed firm · fact
    • Luka Ivan Milakovic left Smart Wealth, Llc for Cetera Investment Advisers Llc (registered 2026-01-05)
      Aug 13, 2025 · Advisor changed firm · fact
    • Miles Irvin Morrissey left Smart Wealth, Llc for Ae Wealth Management, Llc (registered 2025-04-28)
      Apr 16, 2025 · Advisor changed firm · fact
    • Smart Wealth, Llc reported RAUM $440.0M, up 45% from $302.9M (2024-09-17 to 2025-04-02)
      Apr 2, 2025 · RAUM change · derived
    • Brian Douglas Mcconnell left Smart Wealth, Llc for Daviman Financial, Llc (registered 2025-01-21)
      Feb 4, 2025 · Advisor changed firm · fact
    • Phillip Alan Burruel left Smart Wealth, Llc for Daviman Financial, Llc (registered 2026-07-01)
      Feb 4, 2025 · Advisor changed firm · fact
    • Dustin Michael Galvan left Smart Wealth, Llc for Edward Jones (registered 2024-11-25)
      Nov 19, 2024 · Advisor changed firm · fact
    • Michael Beaulieu left Smart Wealth, Llc for Ubs Financial Services Inc. (registered 2024-12-05)
      Nov 5, 2024 · Advisor changed firm · fact
    • Erik Martin Blankmeyer left Smart Wealth, Llc for Level Four Advisory Services (registered 2024-07-29)
      Oct 4, 2023 · Advisor changed firm · fact
    • Dayne Rachel Lawyer left Smart Wealth, Llc for Northwest Wealth Management, Llc (registered 2023-09-20)
      Sep 20, 2023 · Advisor changed firm · fact
    • Nicole Mizener Lecia (Chief Operations Officer) no longer on Schedule A of Smart Wealth, Llc (listed 2023-03-10, absent 2023-04-25)
      Apr 25, 2023 · Control person left · inference
    • Nicole Mizener Lecia (Chief Operations Officer) appeared on Schedule A of Smart Wealth, Llc
      Jan 27, 2023 · Control person joined · fact
    • Joshua Aaron Mueller left Smart Wealth, Llc for Wealthplan Investment Management Llc (registered 2022-06-03)
      Jun 1, 2022 · Advisor changed firm · fact
    • Smart Wealth, Llc filed its initial SEC registration (Form ADV)
      Aug 24, 2021 · 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/getretiresmartreportedpublic record, Form ADV, Sep 17, 2026
    Website
    smartpwp.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    402-369-7777reportedpublic record, Form ADV, Aug 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
    $34.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026