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Investment Adviser Firm Summary

SMART401K, LLC (CRD# 129208 / SEC# 801-62494)
Alternate Names: SMART401K, LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 11/14/2003

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/10/2006
Alaska 03/09/2009
Arizona 02/23/2006
Arkansas 12/03/2007
California 08/13/2004
Colorado 12/03/2007
Connecticut 02/23/2006
Delaware 12/10/2007
District of Columbia 02/23/2006
Florida 02/24/2006
Georgia 02/23/2006
Hawaii 03/09/2009
Idaho 03/09/2009
Illinois 08/18/2004
Indiana 10/25/2004
Iowa 08/24/2004
Kansas 11/14/2003
Kentucky 09/14/2005
Louisiana 01/27/2005
Maine 03/09/2009
Maryland 09/14/2005
Massachusetts 02/23/2006
Michigan 08/13/2004
Minnesota 02/28/2006
Mississippi 02/23/2006
Missouri 08/13/2004
Montana 03/09/2009
Nebraska 08/13/2004
Nevada 08/13/2004
New Hampshire 02/23/2006
New Jersey 03/22/2006
New Mexico 01/27/2005
New York 02/23/2006
North Carolina 01/27/2005
North Dakota 03/09/2009
Ohio 08/13/2004
Oklahoma 02/23/2006
Oregon 02/23/2006
Pennsylvania 09/14/2005
Rhode Island 03/09/2009
South Carolina 09/14/2005
South Dakota 03/10/2009
Tennessee 01/28/2005
Texas 01/27/2005
Utah 12/03/2007
Vermont 02/23/2006
Virginia 09/14/2005
Washington 02/23/2006
West Virginia 03/09/2009
Wisconsin 02/23/2006

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser