Smart401 K, LLC (Overland Park)


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.