Smart Portfolios provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, and tax planning. Financial planning was provided to 1–10 clients last fiscal year.
Smart Portfolios reports 150 clients. They include 91 individual clients and 59 high-net-worth individuals. Of its assets, 98.9% ($208M across 433 accounts) are managed with discretion; $2.36M across 15 accounts are not. It advised 1 client without assets under management last fiscal year.
| Client type | Clients | Assets |
|---|---|---|
| Individuals (other than HNW) | 61% | 19% |
| High-net-worth individuals | 39% | 80% |
| Charitable organizations | Fewer than 5 | <1% |
| Corporations and other businesses | 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) | 91 | $40.5M | 19.3% | $445K |
| High-net-worth individuals | 59 | $169M | 80.4% | $2.87M |
| Charitable organizations | Fewer than 5 | $426K | 0.2% | — |
| Corporations and other businesses | Fewer than 5 | $263K | 0.1% | — |
| Total | 150 | $210M | 100% | — |
- Clients
- 91
- Regulatory AUM
- $40.5M
- AUM share
- 19.3%
- Avg. per client
- $445K
- Clients
- 59
- Regulatory AUM
- $169M
- AUM share
- 80.4%
- Avg. per client
- $2.87M
- Clients
- Fewer than 5
- Regulatory AUM
- $426K
- AUM share
- 0.2%
- Avg. per client
- —
- Clients
- Fewer than 5
- Regulatory AUM
- $263K
- AUM share
- 0.1%
- Avg. per client
- —
Total
- Clients
- 150
- Regulatory AUM
- $210M
- AUM share
- 100%
- Avg. per client
- —
- Clients outside the U.S.
- 0%
- Clients advised without assets under management last fiscal year
- 1
- Private funds advised
- 0
- Financial planning clients last fiscal year
- 1–10
Smart Portfolios charges 0.70%–1.50% a year for its Retail Services. The fee is billed in advance, is negotiable and requires an account of at least $100,000.
Fee details and sources
Shield Holdings, LLC owns 75% or more of Smart Portfolios and is in turn owned by Bryce James (75% or more). The leadership team of Smart Portfolios includes President Bryce James, Chief Investment Officer Keith Campbell and Chief Compliance Officer Kristin Copper. It has 6 employees, 4 of them in advisory roles.
Staff
- 6 employees
- 4 in advisory functions
- 4 state-registered reps
- 1 insurance agent
- 2 soliciting firms
- Owns 75% or more of Smart Portfolios, LLC
Shield Holdings, LLC
Control person · since March 2005
- Owns 75% or more of Shield Holdings, LLC
Bryce James
Control person · since January 2005
Smart Portfolios’ regulatory assets grew from $195M (April 2021) to $210M (March 2026); clients rose from 104 to 150 and employees fell from 7 to 6.
Figures from each annual filing
| Filed | Regulatory AUM | Clients | StaffEmployees | Offices |
|---|---|---|---|---|
| Mar 2026March 2026 | $210M | 150 | 6 | 2 |
| Mar 2025March 2025 | $203M | 161 | 6 | 2 |
| Apr 2024April 2024 | $188M | 157 | 6 | 2 |
| Mar 2023March 2023 | $115M | 136 | 6 | 3 |
| Apr 2022April 2022 | $214M | 109 | 6 | 4 |
| Apr 2021April 2021 | $195M | 104 | 7 | 4 |
Besides its headquarters, Smart Portfolios has 1 office (1 private residence, listed without an address), with 1 listed address in 1 state.
Washington · 1 listed address
- 17849 Ballinger Way Ne, Lake Forest ParkHQ
Contact and registration details
- Legal name
- Smart Portfolios, LLC
- Headquarters
- 17849 Ballinger Way Ne, Lake Forest Park, WA 98155
- Website
- smartportfolios.com
- Phone
- 206-686-3636
- SEC file
- 801-67772
- Founded
- 2005
- Structure
- Washington LLC
- Fiscal year end
- December
Smart Portfolios’ named custodians for separately managed accounts are Charles Schwab ($159M, 89%) and Tiaa-Cref Individual & Institutional Services ($20.3M, 11%). Smart Portfolios does not have custody of client assets.
- Tiaa-Cref Individual & Institutional ServicesTiaa-Cref Individual & Institutional Services, LLC · New York, NY · $20.3M11%
- Charles SchwabCharles Schwab & Co., Inc. · Westlake, TX · $159M89%
At year end, Smart Portfolios’ separately managed accounts were mostly in funds (66%) and stocks (18%). Its reported 13F holdings for the quarter ended 31 March 2026 total $100M across 99 positions; the largest are Pimco ETF TR (9.9%), Bondbloxx ETF Trust (3.7%) and Bondbloxx ETF Trust (3.3%).
What the accounts hold
- Stocks18%
- Funds66%
- Bonds5%
- Investment grade corporate bonds4%
- U.S. government and agency bonds1%
- Cash11%
How many clients does Smart Portfolios have?
Smart Portfolios has 150 clients and manages $210 million for them, as of March 2026. They include 91 individual clients and 59 high-net-worth individuals.
Source: Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026
What services does Smart Portfolios offer?
Smart Portfolios provides financial planning, portfolio management for individuals and small businesses, portfolio management for institutions, estate planning, insurance, 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
How much does Smart Portfolios charge?
Smart Portfolios charges 0.70%–1.50% a year for its Retail Services. The fee is billed in advance, is negotiable and requires an account of at least $100,000.
Which custodians does Smart Portfolios use?
Smart Portfolios’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $159M and Tiaa-Cref Individual & Institutional Services, LLC (New York, NY), with $20.3M. Only custodians holding at least a tenth of those assets are named.
Source: Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 27 March 2026
How many financial advisors does Smart Portfolios have?
Smart Portfolios has 4 investment adviser representatives registered with state securities authorities, out of 6 employees, and 4 perform investment advisory functions. 0 employees are registered representatives of a broker-dealer and 1 employee is a licensed insurance agent.
Source: Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file
What does Smart Portfolios invest in?
At the end of its last fiscal year, Smart Portfolios’ separately managed accounts held 66% registered funds (mutual funds, ETFs, BDCs), 18% exchange-traded equities, 11% cash and equivalents, 4% investment grade corporate bonds and 1% U.S. government and agency bonds.
Source: Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file
Does Smart Portfolios have a minimum investment?
Yes, Smart Portfolios’ minimum account size for its Retail Services is $100K.
Who owns Smart Portfolios?
Smart Portfolios is owned through a holding company by Bryce James. Its direct owner is Shield Holdings, LLC (75% or more).
Source: Form ADV Part 1A, Schedules A and B, filed 27 March 2026
How does Smart Portfolios get paid?
Smart Portfolios is paid through a percentage of assets under management. 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
How do I contact Smart Portfolios?
Smart Portfolios’ main office is at 17849 Ballinger Way Ne, Lake Forest Park, WA 98155. Its phone number is 206-686-3636. Its website is smartportfolios.com.
