Smart Investor (Roseville)

Name: Smart Investor
Address: 915 Highland Pointe Drive, Roseville, CA, 95678
Telephone: 916-724-5217

Smart Investor is a large advisory firm based in Roseville. It manages $415.87 million of regulatory assets for 846 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdictions of California, Nebraska, Nevada, and 3 other states.

Smart Investor provides financial planning services, portfolio management for individuals and small businesses, and portfolio management for businesses and institutional clients. It prepares financial plans for more than 25 clients. On top of advisory services, the firm doesn't engage in other business activities.

Smart Investor: assets under management

The assets under management (AUM) of Smart Investor is $415.87 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 711% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $415.87 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $491.58 thousand each.

Investments

The firm invests in investment and business development companies the most. They account for 72% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 25% of the firm’s portfolio. Investments in cash and cash equivalents form 3% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smart Investor for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Hourly charges are usually charged for consulting work and special projects. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Allan Charles Henriques serves?

The firm provides services to individuals, high net worth individuals, and pension and profit sharing plans. The largest group of clients of Allan Charles Henriques is high net worth individuals with 59 clients and $179.38 million of assets under management. Among the 9 most similar advisory firms, Smart Investor has the 4th lowest percentage of high net worth individuals out of all clients.

The amount of regulatory assets under management is $415.87 million for 483 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. None of the firm’s clients are foreign persons or businesses.

Smart Investor doesn't advise any private funds.

Careers at Smart Investor

The company employs 10 people that are either part- or full-time employees. 70 percent of the employees work as investment advisers or researchers. 7 employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Allan Charles Henriques has been acting as President since 1 Mar 1978. Sloy Dahl & Holst Inc joined the executive team most recently as the Owner.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Allan Charles Henriques	President	1 Mar 1978	75% - 100%	1326424
James Richard Landua	Portfolio manager	1 Jun 2001	Other	2315013
Tina Lynn Herrmann	Compliance officer	1 Jun 2005	Other	1271174
James Richard Landua	Vice president investments	1 Oct 2007	Other	2315013
Allan Charles Henriques	Chief compliance officer	1 Jun 2011	75% - 100%	1326424
Sloy Dahl & Holst Inc	Owner	1 Jan 2017	75% - 100%	110102
Michael Gregory Tudor	President/chief operating officer	1 Jan 2017	Other	6281832
James Craig Holst	Chief compliance officer	1 Jan 2017	Other	1007503

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
James Craig Holst	Shareholder/president	1 Apr 1988	50% - 75%	1007503
Ronald Joseph Sloy	Shareholder/vice president	1 Apr 1988	50% - 75%	1123348

Based in Roseville

The principal office where Smart Investor performs its advisory services is located at 915 Highland Pointe Drive, Roseville, CA 95678, which is also the mailing address of the firm. An additional office of the firm is in Portland, OR. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 916-724-5217 or by fax 916-724-5317. The normal business hours are 8:00am - 5:00pm on Monday - Friday. You can find more information about the New York firm at smart-investor.cc.