{"url":"https://nivawealth.com/firms/smartx-advisory-solutions-297680","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/297680","regulatoryAum":26993430437,"crd":"297680","secFileNumber":"801-113795","legalName":"Smartx Advisory Solutions LLC","displayName":"Smartx Advisory Solutions","website":"http://www.smartxadvisorysolutions.com","linkedinUrl":"https://www.linkedin.com/company/smartxadvisory/","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"105 S. Narcissus Avenue, Suite 701","city":"West Palm Beach","state":"FL","stateName":"Florida","country":"United States","postalCode":"33401"},"tradeNames":["Smart Xchange","Smartx"],"registration":{"secApproved":"7 August 2018","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":96,"advisory":2,"brokerDealerReps":5,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":26993430437,"discretionaryAccounts":61,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":61,"regulatoryAum":26993430437}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Fidelity Brokerage Services LLC","shortName":"Fidelity","location":"Westlake, TX","smaAssets":4049014566},{"name":"Charles Schwab & Co., Inc.","shortName":"Charles Schwab","location":"Westlake, TX","smaAssets":21594744350}],"custodyNote":"Smartx Advisory Solutions does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Jonathan Pincus","title":"Chief Executive Officer","crd":"2843600"},{"name":"Louis Milano","title":"Chief Compliance Officer","crd":"842064"}],"ownership":[{"label":"Smartx Technology Solutions Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since May 2018."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Florida","offices":1,"addresses":[{"street":"105 S. Narcissus Avenue, Suite 701","city":"West Palm Beach","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"561-835-8690","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":91},{"label":"Securities issued by registered investment companies or business development companies","percent":7},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"4 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/297680/PDF/297680.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Smartx Advisory Solutions have?","answer":"Smartx Advisory Solutions has 61 clients and manages $27 billion for them, as of September 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Smartx Advisory Solutions offer?","answer":"Smartx Advisory Solutions provides portfolio management for individuals and small businesses, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Smartx Advisory Solutions use?","answer":"Smartx Advisory Solutions’ separately managed account assets are held at Charles Schwab & Co., Inc. (Westlake, TX), with $21,594,744,350 and Fidelity Brokerage Services LLC (Westlake, TX), with $4,049,014,566. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 4 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Smartx Advisory Solutions have?","answer":"Smartx Advisory Solutions has 0 investment adviser representatives registered with state securities authorities, out of 96 employees, and 2 perform investment advisory functions. 5 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Smartx Advisory Solutions invest in?","answer":"At the end of its last fiscal year, Smartx Advisory Solutions’ separately managed accounts held 91% exchange-traded equities, 7% registered funds (mutual funds, ETFs, BDCs) and 2% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Smartx Advisory Solutions?","answer":"Smartx Advisory Solutions’ direct owner is Smartx Technology Solutions Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 4 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Smartx Advisory Solutions get paid?","answer":"Smartx Advisory Solutions is paid through a percentage of assets under management and other arrangements. 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","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}