Smart Investor

Smart Investor (CRD# 116587) is a financial advisory firm headquartered in Rocklin, CA. They manage $257,012,479 in 589 accounts and serve the financial needs of clients across 3 states (or territories).

By the Numbers
  • Total Assets Under Management
    257
    MILLION
  • Total Number of Accounts
    589
    ACCOUNTS
  • Average Account Value
    $436,354
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Educational seminars/workshops
Types of Clients
Registered States
Advisors affiliated with a RIA are permitted to work with up to five clients in nearly-all states* without explicit registration. The map below shows states where this firm has explicit registration only.

CA, NE, TX

Financial Advisors at Smart Investor
Showing 1 - 4 of 4 top financial advisors.
1
Cathy A. Keck
CRD#: 2380225
5800 Stanford Ranch Road, Bldg 800, Rocklin, CA 95765
96
Wealthminder
score

Cathy Keck (CRD# 2380225) is an Investment Advisor Representative working at Smart Investor in Rocklin, CA and has over 23 years of experience in the finance industry. Cathy Keck has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

2
Tracy L. Gunter
CRD#: 1237369
5800 Stanford Ranch Road, Bldg 800, Rocklin, CA 95765
93
Wealthminder
score

Tracy Gunter (CRD# 1237369) is an Investment Advisor Representative working at Smart Investor in Rocklin, CA and has over 13 years of experience in the finance industry.

3
Laura S. Moskwa
CRD#: 2895058
Auburn, CA
93
Wealthminder
score

Laura Moskwa (CRD# 2895058) is an Investment Advisor Representative working at Smart Investor in Auburn, CA and has over 19 years of experience in the finance industry.

4
Allan C. Henriques
CRD#: 1326424
5800 Stanford Ranch Road, Bldg 800, Rocklin, CA 95765
83
Wealthminder
score

Allan Henriques (CRD# 1326424) is an Investment Advisor Representative working at Smart Investor in Rocklin, CA and has over 29 years of experience in the finance industry.

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