Smart Portfolio
Updated today
Data sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Client assets under management
$1,100,000
This total excludes 50 entity clients. Entities are clients such as corporations, partnerships, or trusts.
Clients
9
100% high-net worth
Advisors
1
of 2 employees
Firm type
Independent
1 advisor
Fewer clients per advisor generally means more personalized, proactive service. Higher ratios may reflect streamlined models or lower minimums.
Clients per advisor
9
Very LowAverage account size
$122,222
About
Smart Portfolio provides fee-based discretionary portfolio management primarily for high‑net‑worth individuals as well as pension and profit‑sharing plans, trusts, and other entities. Its services include customized, rules‑based investment strategies, ERISA Section 3(38) fiduciary management for qualified retirement plans, and advisory oversight of assets held within Private Placement Life Insurance policies.
The firm emphasizes risk‑adjusted, rules‑based portfolio construction and applies fundamental and cyclical analysis across equities, ETFs, and fixed‑income securities to tailor allocations, rebalance, and pursue tax‑aware adjustments when appropriate. Smart Portfolio also leverages third‑party managed‑account platforms and coordinates with plan administrators and program sponsors to implement investment policy and operational needs.
Distinctive for a small advisory practice, the firm has multiple industry affiliations: it operates under common control with a pension consulting/third‑party administration firm, is affiliated with an insurance agency and licensed insurance producers, and its principals are involved with a closed Opportunity Zone real‑estate fund and a related syndicator entity. Those affiliations—alongside its provision of ERISA 3(38) plan services, PPLI investment management, and a one‑advisor, nine‑client structure with roughly $44 million in AUM—are notable departures from the typical profile of similarly sized peers and are disclosed as potential conflicts the firm manages.
Client services
Portfolio management
Selection of other advisers
Expertise
Wealth management
Retirement plans for business owners (SEP, solo 401k)
Occupation focus
Founder/Business Owner
Fee options
$0 - $249,999: 1.25% $250,000 - $2,999,999: 1.00% $3,000,000 - $4,999,999: 0.80% $5,000,000+: 0.60%
Insurance product commissions earned by licensed agents; no advisory fees charged on assets invested in insurance products with commissions.
Account minimum: $50,000
Main office location
Smart Portfolio
3230 E. Imperial Highway, Suite 300
Brea CA 92821, United States
Number of offices
1
Most active in
Smart Portfolio has reported serving >5 clients in these states in the last 12 months.
California
Disclosures
Firm disclosures are reported in Form ADV Part 1A, Item 11. They include criminal charges, regulatory actions, civil proceedings, and professional disciplinary events involving the firm or its advisory affiliates.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
-
Bank
They're affiliated with a bank that may offer its own financial products and services.
-
Trust company
They provide trust and estate administration services, typically for separate fees.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
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Real estate agent
They facilitate real estate transactions and may earn commissions.
Forms ADV
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