SMP ASSET MANAGEMENT, LLC
Adviser information for SMP ASSET MANAGEMENT, LLC last updated from Form ADV on March 21st, 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 | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| 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 | 2 | $200.4M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $200.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $159.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $40.9M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-121051 |
|---|---|
| SEC ERA File Number | 801-121051 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 162653 |
| Legal Entity Identifier | None |
Principal Office
2 STRATTON ROADPURCHASE
NY
United States
Monday - Friday, 9 A.M. TO 5 P.M.
Tel: 914-833-0875, Fax: 914-992-6380
Websites
Chief Compliance Officer
ANNE ARNOLD
ADMINISTRATIVE OFFICER
1396 MARBLE ISLAND ROAD
UNIT 6
COLCHESTER
VT
United States
Tel:
914-833-0958
Fax:
914-992-6380
A******@********M
(Full email address available in API data)
Regulatory Contact
LAWRENCE J. GOLDSTEIN
SOLE MANAGING MEMBER
2 STRATTON ROAD
PURCHASE
NY
United States
Tel:
(914) 833-0875
Fax:
(914) 992-6380
L**@********M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SANTA MONICA PARTNERS, L.P. | Hedge Fund | $159.5M | $0.5M | 49 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GOLDSTEIN, LAWRENCE, JEROME | Individual | – | SOLE MANAGING MEMBER | 11/2002 | > 75% |
| ARNOLD, ANNE, LOUISE | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2021 | < 5% |