Hedge Fund Database

SMITH GROUP ASSET MANAGEMENT, LLC

Adviser information for SMITH GROUP ASSET MANAGEMENT, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Liability Company
Fiscal Year End DECEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 15
Investment Advisory/Research 8
Registered Broker-Dealer Representatives 2
Registered State Investment Advisers 8
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 0

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 717 $2.0B
Non-Discretionary 0 $0
Total 717 $2.0B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals 691 $311.2M
Banking or thrift institutions 0 $0
Investment companies 6 $397.0M
Business development companies 0 $0
Pooled investment vehicles 0 $0
Pension and profit sharing plans 5 $115.8M
Charitable organizations 5 $129.4M
State or municipal gov entities 4 $982.1M
Other investment advisers 0 $0
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 6 $29.2M
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 0
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUM

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 311.6M
Both for Same 0
Portfolio Manager to Program Sponsor
JANNEY MONTGOMERY SCOTT ADVISORS PROGRAM JANNEY MONTGOMERY SCOTT
RBC DAIN MAP PROGRAM RBC DAIN
SUNBELT SECURITIES SUNBELT SECURITIES
SCHWAB MARKET PLACE CHARLES SCHWAB
UBS PAINE WEBBER ACCESS & MAC PROGRAMS UBS PAINE WEBBER
WELLS FARGO PRIVATE ADVISOR NETWORK WELLS FARGO
WEALTHSCAPE FIDELITY

Identifiers

SEC RIA File Number 801-120777
SEC ERA File Number 801-120777
SEC CIK Numbers 1893134
SEC CRD Numbers 313265
Legal Entity Identifier None

Principal Office

100 CRESCENT COURT
DALLAS
TX
United States
Monday - Friday, 8AM-5PM EST
Tel: 214-880-4600, Fax: None

Websites

www.smithasset.com www.linkedin.com/company/3038714

Chief Compliance Officer

WALTER D KARLE
CHIEF COMPLIANCE OFFICER
110 E 59TH STREET
NEW YORK
NY
United States
Tel: 2129151722
(Full email address available in API data)

Regulatory Contact

MICHAEL NORTON
COMPLIANCE OFFICER
110 E 59TH STREET
NEW YORK
NY
United States
Tel: 6469641686
(Full email address available in API data)

Industry Affiliates

CANTOR FITZGERALD & CO. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
CANTOR FITZGERALD INVESTMENT ADVISORS Other investment adviser, including financial planners
SMITH GROUP ASSET MANAGEMENT Other investment adviser, including financial planners

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
None

Control Persons

Name Type Entity Title Since Ownership
CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC Domestic Entity CANTOR FITZGERALD INVESTMENT ADVISORS MEMBER 02/2010 > 75%
CANTOR FITZGERALD INVESTMENT ADVISORS Domestic Entity – MANAGING MEMBER 02/2021 50-75%
MILLARD, MICHAEL, GERARD Individual – SENIOR VICE PRESIDENT 02/2021 < 5%
PAULSON, KENNETH, MICHAEL Individual – CHIEF FINANCIAL OFFICER 02/2021 < 5%
CANTOR FITZGERALD, L.P. Domestic Entity CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC SOLE MEMBER 06/2005 > 75%
CF GROUP MANAGEMENT, INC. Domestic Entity CANTOR FITZGERALD, L.P. MANAGING GENERAL PARTNER 01/2010
HOWARD W. LUTNICK PERSONAL ASSET TRUST Domestic Entity CANTOR FITZGERALD, L.P. LIMITED PARTNER 11/2011 25-50%
LUTNICK, HOWARD, WILLIAM Individual HOWARD W. LUTNICK PERSONAL ASSET TRUST SOLE TRUSTEE 05/2009 > 75%
HOWARD W. LUTNICK REVOCABLE TRUST Domestic Entity CF GROUP MANAGEMENT, INC. SHAREHOLDER 11/2011 > 75%
LUTNICK, HOWARD, WILLIAM Individual HOWARD W. LUTNICK REVOCABLE TRUST SOLE TRUSTEE 01/2010 > 75%
SMITH, STEPHEN, SPENCER Individual – CEO, CHAIRMAN OF INVESTMENT COMMITTEE 07/2021 < 5%
Brim, John, David Individual – PRESIDENT AND CHIEF INVESTMENT OFFICER 07/2021 < 5%
SMITH GROUP ASSET MANAGEMENT Domestic Entity – MEMBER 07/2021 25-50%
DALLAS ADVISORS, LLC Domestic Entity SMITH GROUP ASSET MANAGEMENT GENERAL PARTNER 01/2008
SMITH GROUP EMPLOYEE PARTNER 1, LLC Domestic Entity SMITH GROUP ASSET MANAGEMENT LIMITED PARTNER 04/2008 25-50%
SMITH GROUP EMPLOYEE PARTNER 2, LLC Domestic Entity SMITH GROUP ASSET MANAGEMENT LIMITED PARTNER 04/2008
SMITH, STEPHEN, SPENCER Individual SMITH GROUP EMPLOYEE PARTNER 1, LLC LIMITED PARTNER 04/2008 25-50%
FERRI, WILLIAM, JOSEPH Individual – GLOBAL HEAD OF ASSET MANAGEMENT 06/2022 < 5%
KAPLAN, MARK, ELLIOT Individual – CHIEF OPERATING OFFICER 02/2021 < 5%
KARLE, WALTER, DESMOND Individual – CHIEF COMPLIANCE OFFICER 09/2023 < 5%
JONES, JOHN, JOSEPH Individual – SENIOR MANAGING DIRECTOR & SECRETARY 02/2021 < 5%

No. Employees, Historic

20100202120222023202420252 on 3/12/20212 on 5/3/20212 on 5/3/20212 on 5/4/20212 on 5/5/20212 on 5/5/202116 on 7/7/202116 on 7/8/202116 on 7/21/202116 on 3/30/202216 on 11/14/202215 on 3/29/202315 on 9/18/202315 on 9/18/202315 on 1/16/202415 on 3/27/2024

RAUM, Historic

3B2B0202120222023202420252151606495 on 7/7/20212151606495 on 7/8/20212151606495 on 7/21/20212271396581 on 3/30/20222271396581 on 11/14/20221786807357 on 3/29/20231786807357 on 9/18/20231786807357 on 9/18/20231786807357 on 1/16/20241964631433 on 3/27/2024

No. Clients, Historic

8004000202120222023202420250 on 3/12/20210 on 5/3/20210 on 5/3/20210 on 5/4/20210 on 5/5/20210 on 5/5/2021161 on 7/7/2021161 on 7/8/2021161 on 7/21/2021271 on 3/30/2022271 on 11/14/2022351 on 3/29/2023351 on 9/18/2023351 on 9/18/2023351 on 1/16/2024717 on 3/27/2024

Holdings

From latest 13F, filed July 30th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ABBVIE INC COM 705K 4K –
ADDUS HOMECARE CORP COM 454K 4K –
ADOBE INC COM 25M 45K –
ADVANCED MICRO DEVICES INC COM 479K 3K –
ALPHABET INC CAP STK CL A 37M 203K –
ALPHABET INC CAP STK CL C 2M 12K –
AMAZON COM INC COM 4M 19K –
AMERICAN EAGLE OUTFITTERS IN COM 333K 17K –
AMERICAN EXPRESS CO COM 27M 119K –
AMERICAN TOWER CORP NEW COM 361K 2K –
AMERIPRISE FINL INC COM 29M 68K –
APPLE INC COM 50M 236K –
APPLIED INDL TECHNOLOGIES IN COM 580K 3K –
APPLIED MATLS INC COM 783K 3K –
APPLOVIN CORP COM CL A 32M 383K –
ARCH CAP GROUP LTD ORD 36M 354K –
ARISTA NETWORKS INC COM 2M 5K –
ARLO TECHNOLOGIES INC COM 479K 37K –
ARTISAN PARTNERS ASSET MGMT CL A 379K 9K –
AUTOMATIC DATA PROCESSING IN COM 366K 2K –
AUTOZONE INC COM 32M 11K –
AVEPOINT INC COM CL A 445K 43K –
BLUE OWL CAPITAL INC COM CL A 444K 25K –
BOISE CASCADE CO DEL COM 517K 4K –
BOOKING HOLDINGS INC COM 31M 8K –
BOX INC CL A 343K 13K –
BP PLC SPONSORED ADR 632K 18K –
BRINKER INTL INC COM 674K 9K –
BROADCOM INC COM 1M 878 –
CABOT CORP COM 433K 5K –
CADENCE DESIGN SYSTEM INC COM 29M 95K –
CARDINAL HEALTH INC COM 423K 4K –
CBOE GLOBAL MKTS INC COM 19M 110K –
CENCORA INC COM 529K 2K –
CHECK POINT SOFTWARE TECH LT ORD 6M 34K –
CHEVRON CORP NEW COM 220K 1K –
CLEAR SECURE INC COM CL A 411K 22K –
CLOROX CO DEL COM 493K 4K –
COCA-COLA EUROPACIFIC PARTNE SHS 6M 78K –
COLLEGIUM PHARMACEUTICAL INC COM 485K 15K –
COMFORT SYS USA INC COM 708K 2K –
CORCEPT THERAPEUTICS INC COM 396K 12K –
COSTCO WHSL CORP NEW COM 40M 47K –
CROWDSTRIKE HLDGS INC CL A 1M 3K –
DAVITA INC COM 812K 6K –
DECKERS OUTDOOR CORP COM 610K 630 –
DELTA AIR LINES INC DEL COM NEW 17M 354K –
DICKS SPORTING GOODS INC COM 572K 3K –
DOCUSIGN INC COM 783K 15K –
DOMINOS PIZZA INC COM 21M 42K –
DONALDSON INC COM 318K 4K –
DOXIMITY INC CL A 200K 7K –
E L F BEAUTY INC COM 585K 3K –
EBAY INC. COM 20M 367K –
ELECTRONIC ARTS INC COM 21M 149K –
ELI LILLY & CO COM 1M 1K –
ENCOMPASS HEALTH CORP COM 952K 11K –
ENERSYS COM 384K 4K –
EPLUS INC COM 392K 5K –
EVERTEC INC COM 296K 9K –
EXLSERVICE HOLDINGS INC COM 13M 406K –
EXXON MOBIL CORP COM 17M 144K –
FIRST CTZNS BANCSHARES INC N CL A 340K 202 –
GODADDY INC CL A 207K 1K –
GREIF INC CL A 300K 5K –
HUBBELL INC COM 24M 65K –
INSTALLED BLDG PRODS INC COM 478K 2K –
ISHARES INC MSCI STH KOR ETF 786K 12K –
ISHARES INC MSCI TAIWAN ETF 389K 7K –
ISHARES TR MSCI INDONIA ETF 284K 15K –
JOHNSON & JOHNSON COM 16M 112K –
JPMORGAN CHASE & CO. COM 22M 107K –
KIMBERLY-CLARK CORP COM 1M 9K –
KINROSS GOLD CORP COM 7M 884K –
KLA CORP COM NEW 45M 55K –
LANTHEUS HLDGS INC COM 389K 5K –
MANHATTAN ASSOCIATES INC COM 22M 89K –
MARATHON PETE CORP COM 12M 71K –
MCKESSON CORP COM 29M 49K –
MEDPACE HLDGS INC COM 31M 75K –
MERCK & CO INC COM 18M 143K –
META PLATFORMS INC CL A 33M 66K –
MICROSOFT CORP COM 60M 135K –
MSA SAFETY INC COM 841K 4K –
MUELLER WTR PRODS INC COM SER A 400K 22K –
NETFLIX INC COM 22M 33K –
NEXTRACKER INC CLASS A COM 18M 383K –
NUTANIX INC CL A 1M 22K –
NVIDIA CORPORATION COM 6M 51K –
NVR INC COM 440K 58 –
OKTA INC CL A 21M 221K –
PACIRA BIOSCIENCES INC COM 207K 7K –
PARKER-HANNIFIN CORP COM 35M 68K –
PATRICK INDS INC COM 484K 4K –
PBF ENERGY INC CL A 452K 10K –
PERFORMANCE FOOD GROUP CO COM 16M 242K –
PETIQ INC COM CL A 394K 18K –
PINTEREST INC CL A 26M 599K –
PLEXUS CORP COM 342K 3K –
PROGRESSIVE CORP COM 1M 6K –
QUALCOMM INC COM 813K 4K –
QUALYS INC COM 358K 3K –
RENAISSANCERE HLDGS LTD COM 268K 1K –
RESMED INC COM 377K 2K –
ROYAL CARIBBEAN GROUP COM 909K 6K –
SALESFORCE INC COM 393K 2K –
SMART GLOBAL HLDGS INC SHS 321K 14K –
SMARTSHEET INC COM CL A 662K 15K –
SMITH A O CORP COM 1M 15K –
SPOTIFY TECHNOLOGY S A SHS 1M 3K –
SPS COMM INC COM 528K 3K –
STEPSTONE GROUP INC COM CL A 405K 9K –
SURGERY PARTNERS INC COM 259K 11K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 8M 48K –
TESLA INC COM 322K 2K –
TEXAS INSTRS INC COM 368K 2K –
THE TRADE DESK INC COM CL A 1M 11K –
TIM S A SPONSORED ADR 516K 36K –
TJX COS INC NEW COM 22M 198K –
TWILIO INC CL A 549K 10K –
UNITEDHEALTH GROUP INC COM 229K 450 –
UPWORK INC COM 313K 29K –
UTZ BRANDS INC COM CL A 363K 22K –
VEEVA SYS INC CL A COM 15M 81K –
VERTEX PHARMACEUTICALS INC COM 20M 43K –
VERTIV HOLDINGS CO COM CL A 484K 6K –
VISA INC COM CL A 568K 2K –
WASTE MGMT INC DEL COM 256K 1K –
WILLIAMS SONOMA INC COM 664K 2K –
WORKDAY INC CL A 22M 98K –
WORTHINGTON ENTERPRISES INC COM 258K 5K –
YEXT INC COM 214K 40K –
ZIMMER BIOMET HOLDINGS INC COM 16M 147K –
ZSCALER INC COM 661K 3K –