SMArtX

A Complete Turnkey Asset Management Platform (TAMP)

As advisors increase their reliance on technology to support the evolving relationship between advisors and investors, SMArtX Advisory Solutions delivers an integrated technology platform to drive productivity gains, grow independent channels, and facilitate the transition from commission-based to fee-based accounts.

SMArtX is the first UMA/SMA platform providing advisors access to institutional quality managers offering traditional, alternative, and passive index investment strategies, as well as individual securities, mutual funds, and ETFs, in a single brokerage account. These investment strategies include:

LONG
ONLY
LONG/SHORT
EQUITY
MARKET
NEUTRAL
SHORT
ONLY
OPTIONS
BASED
DIRECT
INDEXES
SMArtX

Custodial Relationships

Our strategic relationships enable wealth advisors to open
client accounts at various custodians.
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SMArtX

SMArtX Advantages

Access to institutional quality managers
for as little as $5,000

Seamless aggregation of long only and long/short strategies in the same account

SMArtX executes all the trades

Advisor as a PM tools

Intra-day, sleeve level performance reporting and portfolio valuation.

Intra-day allocation and liquidation functionality

Custom investment portfolio creation

Rebalancer and drift management

SMArtX

Due Diligence

Each investment management firm is assessed on its leadership, philosophy, and investment performance. Key personnel and counterparties are subject to background and verification checks, and each firm must be a registered investment advisor to be part of the platform.

The inherent nature of receiving trade information from the investment firm’s trade management system or executing broker inherently provides an in-depth view of a firm’s investment and operational procedures.

Every firm is required to:

  • Be a registered investment advisor (RIA) in good standing with SEC or their relevant state regulator.
  • Submit to third party background checks on key personnel, covering criminal, regulatory and credit histories.
  • Present their form ADV Part II and brochure for review.
  • Complete due diligence questionnaire.

Each firm is subject to some or all of the following:

  • Third party verified audited financials.
  • ADV Part II and brochure review.
  • Review of audited financials for the last 3 years.
  • Assessment of fund statements submitted directly by administrator.
  • GIPS compliance/third party review of historical strategy performance.

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Fidelity Investments is an independent company, unaffiliated with SMArtX Advisory Solutions. Fidelity Investments is a service provider to SMArtX Advisory Solutions. There is no form of legal partnership, agency affiliation, or similar relationship between your financial advisor and Fidelity Investments, nor is such a relationship created or implied by the information herein. Fidelity Investments has not been involved with the preparation of the content supplied by SMArtX Advisory Solutions and does not guarantee, or assume any responsibility for, its content. Fidelity Investments is a registered service mark of FMR LLC. Fidelity Clearing & Custody Solutions® provides clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC, Members NYSE, SIPC.

TD Ameritrade, Inc. is one of the firms that we use to custody our client assets. TD Ameritrade, SMArtX, and the other entities named are separate and unaffiliated firms, and are not responsible for each other’s services or policies. TD Ameritrade does not endorse or recommend any advisor and the use of the TD Ameritrade logo does not represent the endorsement or recommendation of any advisor. Brokerage services provided by TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and The Toronto-Dominion Bank. Used with permission.