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.
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.
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.
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.