GREAT LAKES RETIREMENT, INC.

CRD

146608

SEC file #

801-110042

EIN

450588768

DBA names

W.a. Smith Financial Group

Economics

AUM

$1.16B

AUM band

$1B+

AUM trajectory

'20 · $290.9M

'21 · $410.2M

'22 · $541.8M

'23 · $691.5M

'25 · $962.6M

'26 · $1.16B

'20'26

$290.9M → $1.16B▲ +300%

sec adv history

Client mix

Individuals Other	1,329
Individuals High Net Worth	336
Pension Profit Sharing Plans	4

Operations

Employees (total)

Advisory staff (per ADV)

Advisory staff (5-yr trend)

'20 · 6 advisors

'21 · 6 advisors

'22 · 7 advisors

'23 · 10 advisors

'25 · 12 advisors

'26 · 13 advisors

'20'26

6 advisors → 13 advisors▲ +117%

sec adv history

Primary office

SANDUSKY OH

Branches

—

Custodian & Brokerage

Primary custodian

Fidelitylow confidence

adv brochure

Services offered

Financial planningPortfolio mgmt — individualsPension consultingSelection of other advisers

Fee basis

% of AUMFixed fees

Filings

Latest ADV filing

03/31/2026

ADV-W filed at

—

Website

wasmithfinancial.com

Compliance

Disclosures (firm)

Trademark

—

Additional signalsExpand ▾

Ownership & succession ★

Who controls the firm + pre-computed succession flags

Top Owner Name

SMITH, WILLIAM, ALLEN

Top Owner Pct

87.5

Top Owner Entity Kind

Owner Count

Control Persons

SMITH, WILLIAM, ALLEN

Petraitis, Brian, Joseph

Solo Advisor Indicator

Succession Risk Solo Owner

Yes

Is Parent Owned Subsidiary

Availability / M&A ★

Already-acquired = skip; deal comps

Adv W Filed

sec adv w

Web presence ★

Stale website = winding down

Web Signal Quality

Rdap Domain

WASMITHFINANCIAL.COM

Rdap Domain Creation Date

2011-02-02T20:26:50Z

Rdap Firm Age Years

Rdap Firm Age Band

10-20y

Rdap Registrar

GoDaddy.com, LLC

Retirement-plan book (Form 5500) ★

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

Retirement Plan Book

form 5500

SEC EDGAR

Edgar Cik

0001801667

Edgar Registered

Yes

Edgar Filing Count

Edgar First Filing Date

2020-02-18

Edgar Last Filing Date

2026-05-06

Edgar 13f Count

Edgar 13f Latest AUM Estimate

Filing Date2026-05-06

Accession0001801667-26-000002

Local market & wealth

Rank targets by how wealthy the local market is

Soi High Wealth Score

0.1307

Soi Zip Pct 200k Plus

0.0275

Soi Zip Returns 200k Plus

540

Soi Zip Total AGI

1,130,844

Fdic Zip Total Deposits

25,279,802,000

Fdic Zip Branch Count

519

Fdic Zip Top Banks

Civista Bank

The Citizens Banking Company

Compliance & brand

Firm Registration Status

active

sec adv w

All other collected signals (27)

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

Adv W Recently Filed

sec adv w

Bc Firm Active Bc Count

brokercheck firm search

Bc Firm Active IA Count

brokercheck firm search

Bc Firm IAR Count

brokercheck firm search

Custodian Candidates

Full

Fidelity	4
E*trade	4

adv brochure

Edgar Addresses

Mailing

4604 TIMBER COMMONS DRIVESANDUSKY, OH 44870

Business

4604 TIMBER COMMONS DRIVESANDUSKY, OH 44870

Edgar EIN

450588768

Edgar Recent Filings

13F-HR2026-05-06 · 0001801667-26-000002

13F-HR2026-02-12 · 0001801667-26-000001

Fdic Zip Branches Raw

The Citizens Banking CompanySandusky, OH

The Citizens Banking CompanyPerkins Township, OH

Fdic Zip HHI

1479.25

Fdic Zip Top Bank Share Pct

27.21

Fdic Zip Year

2025

Firm Has Custody

Yes

Mailing Office Differs

Rdap Domain Expiration Date

2028-02-02T20:26:50Z

Rdap Domain Last Changed

2025-02-03T11:46:09Z

Rdap Nameservers

Ns51.domaincontrol.comNs52.domaincontrol.com

Rdap Secure Dns Enabled

Rdap Status

Client Delete ProhibitedClient Renew ProhibitedClient Transfer ProhibitedClient Update Prohibited

Soi Year

2022

Soi Zip Distribution

Stub 1

AGI	90,907
Returns	6,870

Stub 2

AGI	208,733
Returns	5,740

Stub 3

AGI	181,295
Returns	2,960

Soi Zip Total Business Income

19,819

Soi Zip Total Cap Gains

34,595

Soi Zip Total Dividends

23,533

Soi Zip Total Returns

19,670

Top Owner CRD

2671372

Trust Company Affiliate