# SML Advisory

> SML Advisory is a state-registered investment advisory firm, registered since 2015, reporting under $25 million in regulatory assets under management in its Form ADV filing dated May 18, 2026.

- CRD: 275028
- Filed as: SML ADVISORY
- Legal name: SML Advisory LLC
- Registration: State-registered investment adviser (status as filed: APPROVED)
- Filing period: October 2026
- Form ADV filing dated: May 18, 2026
- Public record (IAPD): https://adviserinfo.sec.gov/firm/summary/275028
- AdvisorCensus page: https://advisorcensus.com/firm/sml-advisory-275028

## Quick answers

**How is SML Advisory compensated?**
On its Form ADV (Item 5.E, October 2026), SML Advisory reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Is SML Advisory registered with the SEC or a state?**
SML Advisory is a state-registered investment advisory firm, registered since 2015. Status as filed: APPROVED. CRD 275028.

**How much does SML Advisory manage?**
SML Advisory reports $1,248,818 in regulatory assets under management in its Form ADV filing dated May 18, 2026 (100% discretionary).

**What types of clients does SML Advisory serve?**
By number of clients on Form ADV Item 5.D: individuals (other than high net worth individuals) (14).

**Does SML Advisory report any disciplinary disclosures?**
Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.G (pending regulatory proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/275028

## From the Form ADV filing

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

### Regulatory assets under management (Item 5.F)
- Total: $1,248,818
- Discretionary: $1,248,818
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 14 | $1,248,818 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Educational seminars/workshops
- Other

### Firm details
- Registered since: 2015 (11 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, NM
- Disclosures (Item 11): Reports 2 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?
- 11.G: Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/275028

### Websites listed on Form ADV (Item 1.I)
- [alignable.com](https://alignable.com)
- [smladvisory.com](https://smladvisory.com)
- LinkedIn linkedin.com

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. SML Advisory (CRD 275028): Form ADV filing data as of October 2026.