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Smart Wealth, LLC

Smart Wealth, LLC. CRD 315496

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CRD: 315496

Smart Wealth, LLC

$686.4M Total AUM
$668.3M Disc. AUM
45.8% 3Y CAGR
41 Employees
1,012 ADV. Clients
4 yrs Firm Age

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Firm Details

Custodian
Altruist · Charles Schwab & Company · Fidelity/NFS
Clients
Retail and Institutional
Platforms
Available
Established Date
09-23-2021
Office Locations
1

Office Locations

13815 FNB Parkway, Suite 400 Omaha NE

About Smart Wealth, LLC

SMARTWay (SMART Wealth, LLC) sponsors active, quantitatively driven U.S. equity ETFs designed for long-term capital appreciation. Strategies include SGRT, a concentrated portfolio with no sector or industry allocation constraints, and STRN, a quantitative trend-following large-cap approach targeting highly liquid stocks with sector caps for diversification. Distributed to retail and institutional investors.

Team overview

33 AVG AGE
$40.4M AVG AUM / ADVISOR
$678.3K AVG AUM / CLIENT
2.3 yrs AVG TENURE
41 Employees
17 Advisory Reps
19 RIA Reps
4yrs Firm Age

Insights

Available
Available
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Asset Classes

Available

Custodian

Available

Fund Managers

Available

Investment Themes

Available

Investment Vehicles

Available

Services

Available

Technology

Available

Owner & Executives

DAVID ANDREW BROOKS SR

DAVID ANDREW BROOKS SR

Chief Executive Officer, Director

CRD
#4000767
Ownership
75% or more
Available
Available
Available
LOUIS RUTHERFORD BROOKS JR.

LOUIS RUTHERFORD BROOKS JR.

Chief Compliance Officer

CRD
#7642326
Ownership
Less than 5%
Available
Available
Available

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Contacts

Taylor Edward Anderson

Taylor Edward Anderson

Portfolio Analyst

CRD
#7696467
Available
Available
Available
SCOTT STEPHEN AREHART

SCOTT STEPHEN AREHART

Director of Business Development

CRD
#7726809
Available
Available
Available

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Assets Under Management

Total AUM
Discretionary
Non-Discretionary
09-29-2022
12-13-2023
09-17-2024
09-10-2025
04-16-2026
Category Assets AVG. Account size
Discretionary $668,250,746 $170,843
Non-Discretionary $18,159,179 $279,372
Total $686,409,925 $172,771

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Separately Managed Accounts

Total SMA Asset: Available

Locked Total SMA
Equity - Exchange:
Available
U.S. Government/Agency:
Available
Cash:
Available
Asset class Assets Assets %
Equity - Exchange Available Available
U.S. Government/Agency Available Available
Cash Available Available
Total Available Available

13F Holdings | Q1 2026

Issuer Class CUSIP Ticker % Value
Available Available Available Available Available Available
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