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David Brooks

Smart Wealth, LLC
18 Years of Experience
Omaha, NE
1 DisclosureSells Insurance
View SEC Summary
View SEC Summary

David Brooks is a registered investment advisor at Smart Wealth, LLC, based in Omaha, NE, with 18 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 6 more. Their firm serves 1,012 clients with $690M in assets under management.

Smart Wealth, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
19 advisors
Number of Clients
1,012 clients
Average Client Portfolio
$678K average
Assets Under Management
$686.4M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Minimum Annual Fee:$2,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $250K1.50%
$250K - $500K1.30%
$500K - $750K1.00%
$750K - $1.0M0.90%
$1.0M - $2.0M0.85%
$2.0M - $3.0M0.80%
$3.0M - $5.0M0.75%
$5M+0.70%

Households with less than $133,334 in assets under management are subject to a minimum annual fee of $2,000. Fee breakpoints and rates are a suggestion and may be modified lower.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

13815 Fnb Parkway, Suite 400, Omaha, NE, 68154

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
January 2012
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

David is the President and a licensed insurance agent at Retire SMART, LLC, offering insurance and annuity products, dedicating about a quarter of his time. He also owns several other businesses, including real estate rental properties, a tax preparation service, a real estate leasing company, a marketing and education company, and a captive insurance company.

Employment History
Current Registrations
Smart Wealth, LLC
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
Ae Wealth Management, LLC
December 2017 - January 2022 · 4 yrs 1 mo
Retirement Wealth Advisors, INC.
May 2017 - November 2017 · 6 mos
Verus Wealth Management, LLC
July 2014 - July 2017 · 3 yrs
Capital Asset Advisory Services, LLC
June 2012 - November 2014 · 2 yrs 5 mos
Jonathan Roberts Advisory Group, INC.
April 2012 - June 2012 · 2 mos
Brokersxpress LLC
October 2010 - January 2012 · 1 yr 3 mos
Ameriprise Financial Services, INC.
October 2009 - October 2010 · 1 yr
Ameriprise Advisor Services, INC.
August 2009 - October 2009 · 2 mos
UBS Financial Services INC.
February 2008 - August 2009 · 1 yr 6 mos
Morgan Stanley & CO., Incorporated
August 2007 - January 2008 · 5 mos
State Registrations1 state
NE
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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