Smart401 K, LLC (Overland Park)

Name: Smart401 K, LLC
Address: 10950 Grandview Drive, Overland Park, KS, 66210
Telephone: 877-627-8401

Smart401 K, LLC is a related adviser based in Overland Park. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Smart401 K provides recommendation to client as to investment allocation of client's 401(k) assets in company sponsored plans. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Smart401 K, LLC for their services and products based on fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Smart401 K, LLC

The company employs 5 people that are either part- or full-time employees. 60 percent of the employees work as investment advisers or researchers. 3 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Adam Stuart Bold has been acting as President since 1 Jan 2013. Jonathan David Robbins joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Financial Engines	Parent	1 Dec 1997	75% - 100%	94-3250323
Scott S. Revare	Founder and chief executive officer	1 Sep 2003	50% - 75%	4724093
Adam Stuart Bold	Founder and chief investment officer	1 Sep 2003	50% - 75%	2246043
Scott Settle Revare	Founder / chief compliance officer	1 Sep 2003	25% - 50%	4724093
Scott Reed Holsopple	President, coo	1 Nov 2007	Other	4437848
Sharon Bold	Member	1 Apr 2010	Other	5907345
Kevin Matthew Jaegers	Chief compliance officer	1 Jan 2012	Other	4794772
Adam Stuart Bold	Chairman	1 Jan 2013	Other	2246043
Llc Tmfs Holdings	Sole member	1 Jan 2013	75% - 100%	43-1899520
Clifford Merril Brandt	Chief compliance officer	1 Jan 2013	Other	1902051
Edward Richard Bloomberg	Chief operating officer	1 Jan 2013	Other	4731417
Chris Eugene Elliott	Chief financial officer/secretary	1 Jan 2013	Other	5412543
Raffaele Sadun	Chief financial officer	1 Sep 2014	Other	6417007
Michael David Rittershaus	President	1 Dec 2014	Other	3167898
John Bradley Bunch	President	1 Feb 2016	Other	1908764
Lewis Emerson Antone	Executive vice president, general counsel	1 Mar 2016	Other	2598478
Dexter Sage Buck	Chief compliance officer	1 Jan 2017	Other	1824490
Craig Lynn Foster	Executive vice president & cfo	1 Sep 2017	Other	4995784
Jonathan David Robbins	Chief compliance officer	1 Dec 2017	Other	4713929

Indirect Owners

The SEC currently registers 9 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Llc Kansas City 727 Acquisition	Member	1 Jan 2013	75% - 100%	45-3338790
Kansas City 727 Acquisition Corporation	Member	1 Jan 2013	50% - 75%	45-3217452
L.P. Warburg Pincus Private Equity X	Shareholder	1 Jan 2013	75% - 100%	26-0849130
L.P. Warburg Pincus X	General partner	1 Jan 2013	Other	26-0403670
Kansas City 727 Acquisition Llc	Member	1 Jan 2013	75% - 100%	45-3338790
Inc. Mayberry Holdco Ii	Member	1 Feb 2016	75% - 100%	81-1203355
Inc. Mayberry Holdco I	Shareholder	1 Feb 2016	75% - 100%	81-1187274
Llc Mayberry Acquisition Sub I	Shareholder	1 Feb 2016	75% - 100%	81-1219216
Inc. Financial Engines	Member	1 Feb 2016	75% - 100%	94-3250323

Based in Overland Park

The principal office where Smart401 K, LLC performs its advisory services is located at 10950 Grandview Drive, Overland Park, KS 66210, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 877-627-8401 or by fax 866-666-5583. The normal business hours are 8:00 - 5:00 on Monday - Friday. You can find more information about the New York firm at smart401k.com.