# Smart Portfolios, LLC

> Smart Portfolios, LLC is an SEC-registered investment advisory firm in Lake Forest Park, WA, registered since 2007, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 27, 2026.

- CRD: 131342
- Filed as: SMART PORTFOLIOS, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Lake Forest Park, WA
- Filing period: October 2026
- Form ADV filing dated: March 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/131342
- AdvisorCensus page: https://advisorcensus.com/firm/smart-portfolios-llc-lake-forest-park-wa-131342

## Quick answers

**How is Smart Portfolios, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Smart Portfolios, LLC reports these compensation arrangements: a percentage of assets under its management.

**Where is Smart Portfolios, LLC located?**
Smart Portfolios, LLC's principal office is in Lake Forest Park, WA, according to its Form ADV.

**Is Smart Portfolios, LLC registered with the SEC or a state?**
Smart Portfolios, LLC is an SEC-registered investment advisory firm, registered since 2007. Status as filed: Approved. CRD 131342.

**How much does Smart Portfolios, LLC manage?**
Smart Portfolios, LLC reports $210,282,076 in regulatory assets under management in its Form ADV filing dated March 27, 2026 (99% discretionary).

**How have Smart Portfolios, LLC's assets and staff changed since 2021?**
In the Form ADV data for Smart Portfolios, LLC: Regulatory assets under management: $195,124,224 in the October 2021 data and $210,282,076 in the October 2026 data, up 8%. Total employees: 7 in October 2021 and 6 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Smart Portfolios, LLC serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (91); high net worth individuals (59).

**Which custodians does Smart Portfolios, LLC use?**
Smart Portfolios, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and TIAA-CREF Individual & Institutional Services, LLC as custodians holding 10% or more of its separately managed account assets.

**Does Smart Portfolios, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/131342

**Does Smart Portfolios, LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 26, 2026 says: "Smart Portfolios requires a minimum initial investment of $100,000 per Client. The minimum is not applicable to accounts held with insurance companies, TIAA/CREF or custodied with Goldman Sachs (formerly FolioFn)."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated March 26, 2026)

- Account minimum: $100,000

> Smart Portfolios requires a minimum initial investment of $100,000 per Client. The minimum is not applicable to accounts held with insurance companies, TIAA/CREF or custodied with Goldman Sachs (formerly FolioFn).

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- TIAA-CREF Individual & Institutional Services, LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $210,282,076
- Discretionary: $207,917,273
- Non-discretionary: $2,364,803

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 91 | $40,497,775 |
| High net worth individuals | 59 | $169,095,362 |
| Charitable organizations | Fewer than 5 | $426,007 |
| Corporations or other businesses not listed above | Fewer than 5 | $262,932 |

### Advisory services (Item 5.G)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2007 (19 years)
- Employees: 6 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, ID, LA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- smartportfolios.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $195,124,224 | 7 | April 1, 2021 |
| October 2022 | $214,310,361 | 6 | April 7, 2022 |
| October 2023 | $114,593,676 | 6 | March 28, 2023 |
| October 2024 | $187,946,269 | 6 | April 2, 2024 |
| October 2025 | $202,918,930 | 6 | March 27, 2025 |
| October 2026 | $210,282,076 | 6 | March 27, 2026 |

Regulatory assets under management: $195,124,224 in the October 2021 data and $210,282,076 in the October 2026 data, up 8%.
Total employees: 7 in October 2021 and 6 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Smart Portfolios, LLC (CRD 131342): Form ADV filing data as of October 2026.