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W.A. SMITH FINANCIAL GROUP

SANDUSKY, OH · CRD 146608 · IAPD ↗ · wasmithfinancial.com · 419-626-8600

$1.16BRegulatory AUM
13Advisory reps
27Employees
0Clients
1-10Planning clients
0Private funds
9States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

85
April 2026 — W.A. SMITH FINANCIAL GROUP crossed $1B in regulatory AUM ($962.6M -> $1.16B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
58
April 2025 — GREAT LAKES RETIREMENT, INC. is now doing business as W.A. SMITH FINANCIAL GROUP.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM
68
April 2025 — W.A. SMITH FINANCIAL GROUP now reports custody of client assets ($8.5M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
71
February 2024 — GREAT LAKES RETIREMENT, INC. grew from 10 to 13 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.