Smart Wealth, Llc
SEC-registered
Wealth Manager · Small ($100M–$1B)
CRD 315496
· SEC file 801-122372
· Omaha, NE
· www.facebook.com
☆ Save with Pro
ADV data as of Jul 23, 2026
- Regulatory AUM
- $686M
- Discretionary
- $668M
- Clients
- 1,012
- Avg AUM / client
- $678K
- Accounts
- 3,660
- Employees
- 41
AUM over time
$0
$686M
Aug 24, 2021
Jul 23, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Jul 23, 2026
Investments (13F portfolio — 207 positions, $341,486,683)
13F period Mar 31, 2026| # | Issuer | Class | Value | Shares | % of 13F | % of AUM |
|---|---|---|---|---|---|---|
| 1 | Pimco Etf Tr | ULTRA SHORT GOVT | $15,404,387 | 152,564 | 4.51% | 2.24% |
| 2 | Nvidia Corporation | COM | $13,265,493 | 76,064 | 3.88% | 1.93% |
| 3 | Vanguard Index Fds | S&P 500 ETF SHS | $8,137,157 | 13,618 | 2.38% | 1.19% |
| 4 | First Tr Exchange Traded Fd | RISNG DIVD ACHIV | $7,940,671 | 116,296 | 2.33% | 1.16% |
| 5 | Aim Etf Products Trust | ALLIANZIM US EQT | $6,329,865 | 187,385 | 1.85% | 0.92% |
| 6 | Innovator Etfs Trust | INNOVATOR US EQ | $6,305,212 | 187,711 | 1.85% | 0.92% |
| 7 | Aim Etf Products Trust | ALLIANZIM US EQU | $6,222,644 | 234,110 | 1.82% | 0.91% |
| 8 | J P Morgan Exchange Traded F | EQUITY PREMIUM | $6,140,167 | 108,330 | 1.8% | 0.89% |
| 9 | Innovator Etfs Trust | NASDAQ-100 10 BU | $6,098,259 | 208,773 | 1.79% | 0.89% |
| 10 | Berkshire Hathaway Inc Del | CL B NEW | $5,878,826 | 12,268 | 1.72% | 0.86% |
| 11 | First Tr Exchng Traded Fd Vi | FT VEST US EQT | $5,436,870 | 99,358 | 1.59% | 0.79% |
| 12 | First Tr Exchng Traded Fd Vi | FT VEST US EQT | $5,423,974 | 107,597 | 1.59% | 0.79% |
| 13 | First Tr Exchng Traded Fd Vi | FT VEST US EQUIT | $5,277,827 | 156,939 | 1.55% | 0.77% |
| 14 | First Tr Exchng Traded Fd Vi | FT VEST US | $4,973,183 | 116,934 | 1.46% | 0.72% |
| 15 | Invesco Exchange Traded Fd T | S&P500 EQL WGT | $4,963,821 | 25,864 | 1.45% | 0.72% |
| 16 | Sterling Cap Fds | NATIONAL MUNI BD | $4,756,433 | 191,330 | 1.39% | 0.69% |
| 17 | Invesco Qqq Tr | UNIT SER 1 | $4,692,892 | 8,131 | 1.37% | 0.68% |
| 18 | Spdr Gold Tr | GOLD SHS | $4,631,495 | 10,764 | 1.36% | 0.67% |
| 19 | Alps Etf Tr | ALERIAN MLP | $4,295,012 | 81,592 | 1.26% | 0.63% |
| 20 | Apple Inc | COM | $4,155,760 | 16,375 | 1.22% | 0.61% |
| 21 | Vanguard Scottsdale Fds | INTER TERM TREAS | $4,051,682 | 68,038 | 1.19% | 0.59% |
| 22 | Ishares Tr | CORE S&P500 ETF | $4,008,787 | 6,137 | 1.17% | 0.58% |
| 23 | First Tr Exchng Traded Fd Vi | FT VEST NAS | $3,868,478 | 122,965 | 1.13% | 0.56% |
| 24 | First Tr Exchng Traded Fd Vi | FT VEST NAS | $3,863,915 | 123,665 | 1.13% | 0.56% |
| 25 | Aim Etf Products Trust | US LRGCP B10 DEC | $3,691,156 | 103,830 | 1.08% | 0.54% |
Top 25 of 207 positions from the manager's latest Form 13F · source filing (EDGAR) ↗. 13F covers long US-listed positions only. "% of AUM" is share of the firm's total regulatory AUM (Form ADV Item 5.F).
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 651 | $242M | 35.2% |
| High net worth individuals | 339 | $355M | 51.7% |
| Investment companies | 4 | $87.4M | 12.7% |
| Insurance companies | Fewer than 5 | $1.1M | 0.16% |
| Corporations and other businesses | 18 | $1.6M | 0.24% |
People (20)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| David Andrew Brooks | Chief Executive Officer | Oct 2020 (6y) | 75% or more | |
| Louis Rutherford Brooks | Chief Compliance Officer | Sep 2022 (4y) | Less than 5% | |
| Michael Lee Schudel | Registered representative | CFP Chartered Financial Consultant | Oct 2021 (5y) | |
| Alexander Joseph Murray | Registered representative | Oct 2021 (5y) | ||
| Sean Patrick Swanson | Registered representative | Jan 2022 (5y) | ||
| Blake Neil Grimm | Registered representative | Jul 2022 (4y) | ||
| Bradley P Starken | Registered representative | Dec 2022 (4y) | ||
| Paul Michael Ferguson | Registered representative | Jul 2023 (3y) | ||
| Jacob John Orand | Registered representative | Aug 2023 (3y) | ||
| Dawson James Emond | Registered representative | Sep 2024 (2y) | ||
| Joshua Turner Cheatle | Registered representative | Dec 2024 (2y) | ||
| Taylor Edward Anderson | Registered representative | Feb 2025 (2y) | ||
| Scott Stephen Arehart | Registered representative | Feb 2025 (1y) | ||
| Jon Dallas Murray | Registered representative | May 2025 (1y) | ||
| Riley Michelle Vigil | Registered representative | Sep 2025 (1y) | ||
| Jeremy Jordan Love Shamblen | Registered representative | Dec 2025 (1y) | ||
| Treshon Anthony Ingram | Registered representative | Jan 2026 (1y) | ||
| Ian Michael Swanson | Registered representative | Mar 2026 (0y) | ||
| Grant Michael Behne Ryan | Registered representative | Mar 2026 (0y) | ||
| Karver Lee Miller | Registered representative | Jul 2026 (0y) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 04/16/2026 | 1.18 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Other fees
- • FINANCIAL PLANNING FEE
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Selection of other advisers
- • Publication of periodicals or newsletters
- • Educational seminars/workshops
- • Other services
Custody
Reported custodians
- National Financial Services (Fidelity) $517M (75% of AUM) Jul 2026
- Charles Schwab & Co. $60.7M (9% of AUM) Jul 2026
- Truist Financial Corp $1.5M (0% of AUM) Apr 2026
- Altruist Financial $1.5M (0% of AUM) Jul 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jul 23, 2026.
View current Form ADV (SEC/IAPD) ↗