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SMART PORTFOLIO

BREA, CA · CRD 324633 · IAPD ↗ · smrtportfolio.com · 858-898-8000

$44.1MRegulatory AUM
1Advisory reps
2Employees
0Clients
n/aPlanning clients
0Private funds
1States
1Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
March 2026 — SMART PORTFOLIO (BREA, CA) left the SEC roster (was $44.1M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
45
December 2025 — SMART PORTFOLIO moved its main office from SACRAMENTO, CA to BREA, CA.
Main office moved to a different city or state.
Office IT & facilitiesMarketing & brand
50
December 2025 — SMART PORTFOLIO's Item 11 disclosure-reporting entries rose by 1 (0 -> 1).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
December 2025 — SMART PORTFOLIO added office(s): 0 -> 1 additional locations.
Count of additional offices increased.
Office IT & facilitiesCRMRecruiting & transitions
60
December 2025 — SMART PORTFOLIO reported RAUM up 26% ($35.0M -> $44.1M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
60
June 2025 — SMART PORTFOLIO reported RAUM up 25% ($28.0M -> $35.0M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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