SMART401K, LLC

CRD #129208 SEC #801-62494 OVERLAND PARK, KS 877-627-8401

SEC Registered

Total AUM

Discretionary

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Liability Company
State of Formation: Kansas
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 30, 2018
Branch Offices: 1

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
ANTONE, LEWIS, EMERSON	I	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BLOOMBERG, EDWARD, RICHARD	I	CHIEF OPERATING OFFICER	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BOLD, ADAM, STUART	I	CHAIRMAN	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BRANDT, CLIFFORD, MERRIL	I	CHIEF COMPLIANCE OFFICER	NA	Control
BUCK, DEXTER, SAGE	I	CHIEF COMPLIANCE OFFICER	NA
BUCK, DEXTER, SAGE	I	CHIEF COMPLIANCE OFFICER	NA
BUCK, DEXTER, SAGE	I	CHIEF COMPLIANCE OFFICER	NA
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
BUNCH, JOHN, BRADLEY	I	PRESIDENT	NA	Control
ELLIOTT, CHRIS, EUGENE	I	CHIEF FINANCIAL OFFICER/SECRETARY	NA	Control
ELLIOTT, CHRIS, EUGENE	I	CHIEF FINANCIAL OFFICER/SECRETARY	NA	Control
ELLIOTT, CHRIS, EUGENE	I	CHIEF FINANCIAL OFFICER/SECRETARY	NA	Control
ELLIOTT, CHRIS, EUGENE	I	CHIEF FINANCIAL OFFICER/SECRETARY	NA	Control
FOSTER, CRAIG, LYNN	I	EXECUTIVE VICE PRESIDENT & CFO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	NA	Control
JAEGERS, KEVIN, MATTHEW	I	CHIEF COMPLIANCE OFFICER	NA
RITTERSHAUS, MICHAEL, DAVID	I	PRESIDENT	NA	Control
RITTERSHAUS, MICHAEL, DAVID	I	PRESIDENT	NA	Control
RITTERSHAUS, MICHAEL, DAVID	I	PRESIDENT	NA	Control
ROBBINS, JONATHAN, DAVID	I	CHIEF COMPLIANCE OFFICER	NA
ROBBINS, JONATHAN, DAVID	I	CHIEF COMPLIANCE OFFICER	NA
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
SADUN, RAFFAELE	I	CHIEF FINANCIAL OFFICER	NA	Control
FINANCIAL ENGINES, INC.	DE	PARENT	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
TMFS HOLDINGS, LLC	DE	SOLE MEMBER	E	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER, FOUNDER AND CEO, COO, CFO, CHIEF COMPLIANCE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER, FOUNDER AND CEO, COO, CFO, CHIEF COMPLIANCE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER, FOUNDER AND CEO, COO, CFO, CHIEF COMPLIANCE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER / FOUNDER AND CHIEF EXECUTIVE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER / FOUNDER AND CHIEF EXECUTIVE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER / FOUNDER AND CHIEF EXECUTIVE OFFICER	D	Control
REVARE, SCOTT, S.	I	FOUNDER AND CHIEF EXECUTIVE OFFICER	D	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER / FOUNDER AND CHIEF EXECUTIVE OFFICER	D	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	C	Control
REVARE, SCOTT, S.	I	MANAGING MEMBER, FOUNDER AND CEO, CHIEF COMPLIANCE OFFICER	C	Control
REVARE, SCOTT, SETTLE	I	FOUNDER / CHIEF COMPLIANCE OFFICER	C	Control
REVARE, SCOTT, SETTLE	I	FOUNDER	C	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	B	Control
BOLD, ADAM, STUART	I	MANAGING MEMBER / FOUNDER AND CHIEF INVESTMENT OFFICER	B	Control
BOLD, SHARON	I	MEMBER	B
BOLD, SHARON	I	MEMBER	B
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	B	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, COO	B	Control
HOLSOPPLE, SCOTT, REED	I	PRESIDENT, CEO	B	Control

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
WARBURG PINCUS X, L.P.	DE	WARBURG PINCUS PRIVATE EQUITY X, L.P.	F	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
FINANCIAL ENGINES, INC.	DE	MAYBERRY ACQUISITION SUB I, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
KANSAS CITY 727 ACQUISITION, LLC	DE	TMFS HOLDINGS, LLC	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY ACQUISITION SUB I, LLC	DE	MAYBERRY HOLDCO I, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO I, INC.	DE	MAYBERRY HOLDCO II, INC.	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
MAYBERRY HOLDCO II, INC.	DE	KANSAS CITY 727 ACQUISITION LLC	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
WARBURG PINCUS PRIVATE EQUITY X, L.P.	DE	KANSAS CITY 727 ACQUISITION CORPORATION	E	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control
KANSAS CITY 727 ACQUISITION CORPORATION	DE	KANSAS CITY 727 ACQUISITION, LLC	D	Control

Registrations

Federal

Mar 30, 2018 REGISTERED

Notice Filings (50)

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Address

10950 GRANDVIEW DRIVE
SUITE 500
OVERLAND PARK, KS 66210
United States

Phone: 877-627-8401