Leelyn Smith provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, educational seminars, estate planning, insurance, retirement plan services, and tax planning. Financial planning was provided to 1–10 clients last fiscal year.
Leelyn Smith reports 799 clients. They include 583 individual clients and 216 high-net-worth individuals. Nearly all assets ($852M across 1,658 accounts) are managed with discretion; $56.8K across 1 account is not. A wrap fee program the firm both sponsors and manages holds $852M. It advised 3 clients without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 73% | 30% |
| High-net-worth individuals | 27% | 69% |
| Pension and profit-sharing plans | Fewer than 5 | <1% |
| Charitable organizations | Fewer than 5 | <1% |
Client shares use reported counts. Client types without a reported count are excluded from that total.
Client breakdown and activity details
| Client type | Clients | Regulatory AUM | AUM share | Avg. per client |
|---|---|---|---|---|
| Individuals (other than HNW) | 583 | $259M | 30.4% | $444K |
| High-net-worth individuals | 216 | $589M | 69.1% | $2.72M |
| Pension and profit-sharing plans | Fewer than 5 | $3.22M | 0.4% | — |
| Charitable organizations | Fewer than 5 | $1.73M | 0.2% | — |
| Total | 799 | $852M | 100% | — |
- Clients
- 583
- Regulatory AUM
- $259M
- AUM share
- 30.4%
- Avg. per client
- $444K
- Clients
- 216
- Regulatory AUM
- $589M
- AUM share
- 69.1%
- Avg. per client
- $2.72M
- Clients
- Fewer than 5
- Regulatory AUM
- $3.22M
- AUM share
- 0.4%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $1.73M
- AUM share
- 0.2%
- Avg. per client
- —
Total
- Clients
- 799
- Regulatory AUM
- $852M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 3
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Leelyn Smith is paid through a percentage of assets under management, hourly charges, fixed fees (other than subscription fees) and other compensation. The reviewed brochures do not disclose an asset-based fee rate. Read the SEC-filed brochure. The brochure also prices one other service, listed under fee details.
Fee details and sources
Other fees
- Stand-alone financial planning and consulting
- Stand-alone planning and consulting fees are negotiable, generally $500 to $5,000 fixed or $150 to $350 an hour.
Andrew Grider owns 50% to 75% of Leelyn Smith. The leadership team of Leelyn Smith includes President Andrew Grider and Chief Operating Officer Christopher McManama. It has 38 employees, 14 of them in advisory roles.
Leadership
- Andrew GriderPresident
- Christopher McManamaChief Compliance Officer and Chief Operating Officer
John DornCheif Investment Officer
Kevin PrendergastDirector of Wealth
Investment adviser representatives
11 representatives listed in the SEC register as of 9 October 2026.
Staff
- 38 employees
- 14 in advisory functions
- 14 state-registered reps
- 15 broker-dealer reps
- 4 insurance agents
- Owns 50% to 75% of Leelyn Smith, LLC
Andrew Grider
Control person · since September 2011
- Owns 10% to 25% of Leelyn Smith, LLC
Christopher McManama
Control person · since January 2024
- Owns 10% to 25% of Leelyn Smith, LLC
Kevin Prendergast
since January 2023
- Owns 5% to 10% of Leelyn Smith, LLC
John Dorn
Control person · since March 2021
Leelyn Smith’s regulatory assets grew 1.9× from $448M (May 2021) to $852M (April 2026); clients rose from 680 to 799 and employees from 17 to 38. In 2023, Grebe & Associates joined it.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | Employees | Offices |
|---|---|---|---|---|
| April 2026 | $852M | 799 | 38 | 5 |
| April 2025 | $722M | 776 | 21 | 7 |
| April 2024 | $603M | 745 | 19 | 6 |
| June 2023 | $466M | 679 | 21 | 7 |
| July 2022 | $493M | 622 | 20 | 3 |
| May 2021 | $448M | 680 | 17 | 4 |
Firms that joined
20231 joined
- Grebe & AssociatesNo filed AUM
Firms whose SEC withdrawal reports a sale to this firm, and deals reported in the press. Teams that moved without selling a registered firm may not appear.
Besides its headquarters, Leelyn Smith has 4 offices (3 private residences, listed without an address), with 2 listed addresses in Illinois.
Illinois · 2 listed addresses
- 10 N. Third Street, GenevaHQ
- 700 Commerce Drive, Oakbrook
Other business names
Leelyn Smith has reported 2 other business names to the SEC.
- Emergent Partners
- The Retirement Network
Contact and registration details
- Legal name
- Leelyn Smith, LLC
- Headquarters
- 10 N. Third Street, Geneva, IL 60134
- Website
- leelynsmith.com
- Phone
- 630-232-8995
- @leelyn-smith
- SEC file
- 801-113460
- Founded
- 1996
- Structure
- Illinois LLC
- Fiscal year end
- December
Leelyn Smith uses LPL Financial ($700M, 82%) and Charles Schwab ($152M, 18%) as custodians for its separately managed accounts. Leelyn Smith has custody of $21M in client assets for 4 clients.
- LPL FinancialLPL Financial LLC · Boston, MA · $700M82%
- Charles SchwabCharles Schwab & Co., Inc. · San Francisco, CA · $152M18%
At year end, Leelyn Smith’s separately managed accounts were mostly in funds (51%) and stocks (42%). Its reported 13F holdings for the quarter ended 30 June 2026 total $822M across 157 positions; the largest are Vanguard World FD (8.5%), Vaneck ETF Trust (6.7%) and Schwab Strategic TR (6.3%).
What the accounts hold
- Stocks42%
- Funds51%
- Registered funds50%
- Pooled vehicles1%
- Bonds3%
- U.S. government and agency bonds1%
- State and local bonds1%
- Investment grade corporate bonds1%
- Cash4%
- Other4%
- Structured products.reits, cds.4%
Reported 13F holdings
- $822M
- Reported 13F value
- 157
- Positions
- 42.1%
- In the 10 largest
- +15.3%
- Value vs. prior quarter
- Vanguard World FD · Mega Grwth Ind8.5%
- Vaneck ETF Trust · Mrngstr Wde Moat6.7%
- Schwab Strategic TR · US Dividend EQ6.3%
- Janus Detroit Str TR · Hendersn Sml ETF4.6%
- Tcw ETF Trust · Flexible Income3.9%
- Fidelity Merrimack Str TR · Total BD ETF3.9%
- Applied Matls Inc.2.4%
- KLA Corp.2.0%
- Nvidia Corporation2.0%
- iShares TR · MSCI USA Min ETF1.9%
Together, the ten largest are 42.1% of reported value.
How many clients does Leelyn Smith have?
Leelyn Smith has 799 clients and manages $852 million for them, as of April 2026. They include 583 individual clients and 216 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 12 April 2026
What services does Leelyn Smith offer?
Leelyn Smith provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, selecting other managers, educational seminars, estate planning, insurance, retirement plan services, and tax planning.
Source: Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file; Part 2A brochure, Item 4
Which custodians does Leelyn Smith use?
Leelyn Smith’s separately managed account assets are held at LPL Financial LLC (Boston, MA), with $700M and Charles Schwab & Co., Inc. (San Francisco, CA), with $152M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 12 April 2026
How many financial advisors does Leelyn Smith have?
Leelyn Smith has 14 investment adviser representatives registered with state securities authorities, out of 38 employees, and 14 perform investment advisory functions. 15 employees are registered representatives of a broker-dealer and 4 employees are licensed insurance agents.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Leelyn Smith invest in?
At the end of its last fiscal year, Leelyn Smith’s separately managed accounts held 50% registered funds (mutual funds, ETFs, BDCs), 42% exchange-traded equities, 4% cash and equivalents, 4% other, 1% U.S. government and agency bonds, 1% state and local bonds, 1% investment grade corporate bonds and 1% pooled vehicles (private funds and similar). The 4% other category is described as: Structured Products.reits, CDS.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Who owns Leelyn Smith?
Leelyn Smith’s direct owners are Andrew Grider (50% to 75%), John Dorn (5% to 10%), Christopher McManama (10% to 25%) and Kevin Prendergast (10% to 25%).
Source: Form ADV Part 1A, Schedules A and B, filed 12 April 2026
How does Leelyn Smith get paid?
Leelyn Smith is paid through a percentage of assets under management, hourly charges, fixed fees and other compensation. Its Form ADV lists no commissions or performance-based fees among how it is paid.
Source: Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file
Is Leelyn Smith registered with the SEC?
Yes, Leelyn Smith has been registered with the SEC as an investment adviser since 14 June 2018. Its CRD number is 110517 and its SEC file number is 801-113460.
Source: Form ADV Part 1A, Item 1, filed 12 April 2026; IAPD firm record
How do I contact Leelyn Smith?
Leelyn Smith’s main office is at 10 N. Third Street, Geneva, IL 60134. Its phone number is 630-232-8995. Its website is leelynsmith.com.