SourcingSourcing

SMART PORTFOLIOS, LLC

B56
CRD 131342·SEC 801-67772·LAKE FOREST PARK, WA
AUM
$210.3M
$100M-$500M
Est. Revenue
$2.1M
@ 1% on AUM
Est. EBITDA
$631K
@ 30% margin
Est. Deal Value
$5.0M
@ 8× EBITDA

Identity

Registrations & legal identity

Legal name
SMART PORTFOLIOS, LLC
CRD
131342
SEC file #
801-67772
EIN
753072032
DBA names
—

Economics

AUM
$210.3M
AUM band
$100M-$500M
AUM trajectory
'20'26
$184.0M → $210.3M▲ +14%
Client mix
Individuals Other91
Individuals High Net Worth59

Operations

Employees (total)
6
Advisory staff (per ADV)
4
Advisory staff (5-yr trend)
'20'26
5 advisors → 4 advisors▼ -20%
Primary office
LAKE FOREST PARK WA
Branches
—

Custodian & Brokerage

Primary custodian
Charles Schwablow confidence
Services offered
Financial planningPortfolio mgmt — individualsPortfolio mgmt — businesses
Fee basis
% of AUM

Filings

Latest ADV filing
03/27/2026
ADV-W filed at
—
Website
smartportfolios.com

Compliance

Disclosures (firm)
0
Trademark
—
Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name
SHIELD HOLDINGS, LLC
Top Owner Pct
87.5
Top Owner Entity Kind
DE
Owner Count
4
Control Persons
SHIELD HOLDINGS, LLC
CAMPBELL, KEITH, EDWARD
Solo Advisor Indicator
No
Succession Risk Solo Owner
No
Is Parent Owned Subsidiary
Yes

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed
No

Web presence ★

Stale website = winding down

Web Signal Quality
ok
Rdap Domain
SMARTPORTFOLIOS.COM
Rdap Domain Creation Date
2004-11-06T04:22:04Z
Rdap Firm Age Years
22
Rdap Firm Age Band
20+y
Rdap Registrar
GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

401(k)/plan business — cross-sell value

Retirement Plan Book
No

SEC EDGAR

Edgar Cik
0001513227
Edgar Registered
Yes
Edgar Filing Count
66
Edgar First Filing Date
2011-02-17
Edgar Last Filing Date
2026-05-01
Edgar 13f Count
64
Edgar 13f Latest AUM Estimate
Filing Date2026-05-01
Accession0001513227-26-000006

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score
0.3896
Soi Zip Pct 200k Plus
0.1605
Soi Zip Returns 200k Plus
2,930
Soi Zip Total AGI
2,262,492
Fdic Zip Total Deposits
9,076,186,000
Fdic Zip Branch Count
172
Fdic Zip Top Banks
Bank of America, National Association
JPMorgan Chase Bank, National Association

Compliance & brand

Firm Registration Status
active

All other collected signals (26)

Everything else we've pulled for this record, not yet curated into a section.

Adv W Recently Filed
No
Bc Firm Active Bc Count
0
Bc Firm Active IA Count
4
Bc Firm IAR Count
4
Custodian Candidates
Full
Charles Schwab6
E*trade4
Edgar Addresses
Mailing
17849 BALLINGER WAY NELAKE FOREST PARK, WA 98155
Business
17849 BALLINGER WAY NELAKE FOREST PARK, WA 98155
Edgar EIN
753072032
Edgar Recent Filings
13F-HR2026-05-01 · 0001513227-26-000006
13F-HR2026-01-30 · 0001513227-26-000005
Fdic Zip Branches Raw
Key Bank of WashingtonSeattle, WA
Key Bank of WashingtonKing County, WA
Fdic Zip HHI
1266.88
Fdic Zip Top Bank Share Pct
21.76
Fdic Zip Year
2025
Firm Has Custody
No
Mailing Office Differs
No
Rdap Domain Expiration Date
2026-08-31T03:59:59Z
Rdap Domain Last Changed
2025-08-31T16:46:09Z
Rdap Nameservers
Ns31.domaincontrol.comNs32.domaincontrol.com
Rdap Secure Dns Enabled
No
Rdap Status
Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited
Soi Year
2022
Soi Zip Distribution
Stub 1
AGI39,412
Returns3,320
Stub 2
AGI116,421
Returns3,080
Stub 3
AGI171,122
Returns2,770
Soi Zip Total Business Income
74,031
Soi Zip Total Cap Gains
124,215
Soi Zip Total Dividends
50,282
Soi Zip Total Returns
18,250
Trust Company Affiliate
No

People (5)

5
CAMPBELL, KEITH, EDWARD
IAR · Executive Officer · 2.5%
6274873
JAMES, BRYCE, ARNEVICK
IAR · Executive Officer · 2.5%
1162409
Copper, Kristin, Lynn
Executive Officer · 2.5%
7227692
MARK ALLEN BERGERON
IAR
839130
PHILIP LAURENCE MURPHY
IAR
1567226