SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**
Adviser information for SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** last updated from Form ADV on April 25th, 2023. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 5 |
| 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 | 37 | $829.2M |
| Non-Discretionary | 0 | $0 |
| Total | 37 | $829.2M |
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 | 0 | $0 |
| Pension and profit sharing plans | 26 | $389.3M |
| Charitable organizations | <5 | $49.6M |
| State or municipal gov entities | 8 | $366.2M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $24.1M |
| 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 businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Principal Office
717 TEXAS AVENUEHOUSTON
TX
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 713-227-1100, Fax: None
Websites
Chief Compliance Officer
MARK W. DUBE
CHIEF COMPLIANCE OFFICER
717 TEXAS AVENUE
HOUSTON
TX
United States
Tel:
(713) 292-2136
M****@**************M
(Full email address available in API data)
Regulatory Contact
JAMIE G. HOUSE
CHIEF EXECUTIVE OFFICER
717 TEXAS AVENUE
HOUSTON
TX
United States
Tel:
(713) 292-2133
J*****@**************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | Domestic Entity | – | LIMITED PARTNER | 05/2001 | > 75% |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | Domestic Entity | – | GENERAL PARTNER | 05/1996 | < 5% |
| SMITH, GERALD, BERNARD | Individual | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | SHAREHOLDER IN SG | 07/1990 | 50-75% |
| HOUSE, JAMIE, GARLAND | Individual | – | CHIEF EXECUTIVE OFFICER | 12/1992 | < 5% |
| SMITH, GERALD, BERNARD | Individual | – | CHAIRMAN | 07/1990 | < 5% |
| DUBE, MARK, WELDON | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2013 | < 5% |
| VISHWAKARMA, ANUPAMA, RAJESH | Individual | – | CHIEF FINANCIAL OFFICER | 01/2022 | < 5% |
| ROBERSON, MARGARET, VELMA | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 09/2022 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed January 29th, 2024 for period ending December 31st, 2023
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| AMC NETWORKS INC | CL A | 7M | 383K | – |
| AECOM | COM | 5M | 57K | – |
| ADVANCED ENERGY INDS | COM | 8M | 78K | – |
| AIR LEASE CORP | CL A | 5M | 115K | – |
| VERADIGM INC | COM | 4M | 352K | – |
| AMEREN CORP | COM | 2M | 22K | – |
| AMERICAN AXLE & MFG HLDGS IN | COM | 8M | 950K | – |
| AMERISAFE INC | COM | 5M | 99K | – |
| ELEVANCE HEALTH INC | COM | 7M | 14K | – |
| ARES COML REAL ESTATE CORP | COM | 6M | 607K | – |
| ARROW ELECTRS INC | COM | 5M | 37K | – |
| AUTONATION INC | COM | 6M | 38K | – |
| B & G FOODS INC NEW | COM | 7M | 631K | – |
| BANDWIDTH INC | COM CL A | 7M | 485K | – |
| BANC OF CALIFORNIA INC | COM | 6M | 482K | – |
| BELDEN INC | COM | 8M | 101K | – |
| BRIGHTVIEW HLDGS INC | COM | 7M | 804K | – |
| BUILDERS FIRSTSOURCE INC | COM | 8M | 51K | – |
| CBRE GROUP INC | CL A | 5M | 51K | – |
| THE CIGNA GROUP | COM | 6M | 20K | – |
| CAPITAL ONE FINL CORP | COM | 3M | 27K | – |
| CARGURUS INC | COM CL A | 8M | 311K | – |
| CATHAY GEN BANCORP | COM | 3M | 71K | – |
| CELANESE CORP DEL | COM | 3M | 22K | – |
| CENTERPOINT ENERGY INC | COM | 4M | 138K | – |
| CHILDRENS PL INC NEW | COM | 4M | 188K | – |
| CIRRUS LOGIC INC | COM | 8M | 102K | – |
| CLEARFIELD INC | COM | 5M | 177K | – |
| COLUMBIA BKG SYS INC | COM | 4M | 160K | – |
| COMSTOCK RES INC | COM | 7M | 757K | – |
| CORNING INC | COM | 2M | 73K | – |
| COPT DEFENSE PROPERTIES | SHS BEN INT | 4M | 156K | – |
| CROSS CTRY HEALTHCARE INC | COM | 6M | 254K | – |
| DECKERS OUTDOOR CORP | COM | 12M | 18K | – |
| DESIGNER BRANDS INC | CL A | 3M | 309K | – |
| DIAMONDROCK HOSPITALITY CO | COM | 8M | 829K | – |
| DIAMONDBACK ENERGY INC | COM | 5M | 34K | – |
| DICKS SPORTING GOODS INC | COM | 5M | 36K | – |
| DISCOVER FINL SVCS | COM | 4M | 32K | – |
| DYCOM INDS INC | COM | 15M | 128K | – |
| EAST WEST BANCORP INC | COM | 3M | 47K | – |
| ELANCO ANIMAL HEALTH INC | COM | 5M | 322K | – |
| ENCORE CAP GROUP INC | COM | 10M | 190K | – |
| ENERSYS | COM | 8M | 75K | – |
| FIFTH THIRD BANCORP | COM | 3M | 98K | – |
| FIRST AMERN FINL CORP | COM | 3M | 52K | – |
| FOOT LOCKER INC | COM | 4M | 117K | – |
| FULTON FINL CORP PA | COM | 4M | 224K | – |
| GATX CORP | COM | 8M | 65K | – |
| GENESCO INC | COM | 4M | 120K | – |
| GENTEX CORP | COM | 4M | 111K | – |
| GREEN DOT CORP | CL A | 6M | 597K | – |
| GREENBRIER COS INC | COM | 10M | 219K | – |
| GRIFFON CORP | COM | 14M | 236K | – |
| GROUP 1 AUTOMOTIVE INC | COM | 14M | 45K | – |
| HF SINCLAIR CORP | COM | 4M | 71K | – |
| HEWLETT PACKARD ENTERPRISE C | COM | 4M | 254K | – |
| HIBBETT INC | COM | 15M | 209K | – |
| HOPE BANCORP INC | COM | 7M | 583K | – |
| HOST HOTELS & RESORTS INC | COM | 4M | 181K | – |
| HUMANA INC | COM | 5M | 10K | – |
| HUNTINGTON BANCSHARES INC | COM | 2M | 195K | – |
| INGREDION INC | COM | 4M | 35K | – |
| INTEGER HLDGS CORP | COM | 10M | 100K | – |
| JABIL INC | COM | 7M | 58K | – |
| JETBLUE AWYS CORP | COM | 2M | 359K | – |
| JONES LANG LASALLE INC | COM | 4M | 23K | – |
| JUNIPER NETWORKS INC | COM | 4M | 126K | – |
| KEYCORP | COM | 2M | 171K | – |
| KOPPERS HOLDINGS INC | COM | 15M | 295K | – |
| KULICKE & SOFFA INDS INC | COM | 4M | 65K | – |
| LA Z BOY INC | COM | 9M | 241K | – |
| LABORATORY CORP AMER HLDGS | COM NEW | 3M | 13K | – |
| VITAL ENERGY INC | COM | 8M | 181K | – |
| LEAR CORP | COM NEW | 3M | 22K | – |
| LIGAND PHARMACEUTICALS INC | COM NEW | 6M | 83K | – |
| LITHIA MTRS INC | COM | 14M | 41K | – |
| LUMENTUM HLDGS INC | COM | 5M | 98K | – |
| M & T BK CORP | COM | 3M | 20K | – |
| M D C HLDGS INC | COM | 12M | 221K | – |
| MACYS INC | COM | 7M | 328K | – |
| MASTEC INC | COM | 6M | 85K | – |
| PEDIATRIX MEDICAL GROUP INC | COM | 5M | 535K | – |
| NMI HLDGS INC | CL A | 7M | 232K | – |
| NORTHWEST NAT HLDG CO | COM | 8M | 212K | – |
| OGE ENERGY CORP | COM | 3M | 92K | – |
| O-I GLASS INC | COM | 6M | 341K | – |
| OWENS & MINOR INC NEW | COM | 9M | 491K | – |
| PATTERSON COS INC | COM | 7M | 260K | – |
| PATTERSON-UTI ENERGY INC | COM | 4M | 341K | – |
| PENNYMAC MTG INVT TR | COM | 5M | 333K | – |
| PERMIAN RESOURCES CORP | CLASS A COM | 10M | 736K | – |
| PHIBRO ANIMAL HEALTH CORP | CL A COM | 5M | 448K | – |
| PLEXUS CORP | COM | 5M | 42K | – |
| PREFERRED BK LOS ANGELES CA | COM NEW | 7M | 89K | – |
| PRESTIGE CONSMR HEALTHCARE I | COM | 8M | 131K | – |
| PRIMORIS SVCS CORP | COM | 10M | 304K | – |
| PROASSURANCE CORP | COM | 5M | 357K | – |
| PUBLIC SVC ENTERPRISE GRP IN | COM | 3M | 43K | – |
| QUANTA SVCS INC | COM | 9M | 41K | – |
| RADIAN GROUP INC | COM | 4M | 153K | – |
| RALPH LAUREN CORP | CL A | 4M | 26K | – |
| RAYMOND JAMES FINL INC | COM | 5M | 42K | – |
| ANYWHERE REAL ESTATE INC | COM | 8M | 972K | – |
| REGIONS FINANCIAL CORP NEW | COM | 4M | 184K | – |
| RELIANCE STEEL & ALUMINUM CO | COM | 6M | 20K | – |
| RESIDEO TECHNOLOGIES INC | COM | 4M | 201K | – |
| SL GREEN RLTY CORP | COM | 4M | 82K | – |
| SCANSOURCE INC | COM | 12M | 304K | – |
| SCIENCE APPLICATIONS INTL CO | COM | 5M | 38K | – |
| SELECT MED HLDGS CORP | COM | 10M | 410K | – |
| SELECTIVE INS GROUP INC | COM | 12M | 124K | – |
| SILGAN HLDGS INC | COM | 5M | 100K | – |
| SKYWORKS SOLUTIONS INC | COM | 4M | 38K | – |
| SOUTHWEST AIRLS CO | COM | 3M | 105K | – |
| SPARTANNASH CO | COM | 6M | 282K | – |
| SPROUTS FMRS MKT INC | COM | 6M | 116K | – |
| STEEL DYNAMICS INC | COM | 5M | 44K | – |
| STIFEL FINL CORP | COM | 4M | 55K | – |
| SYNAPTICS INC | COM | 7M | 58K | – |
| TTM TECHNOLOGIES INC | COM | 10M | 611K | – |
| TAPESTRY INC | COM | 5M | 127K | – |
| TAYLOR MORRISON HOME CORP | COM | 6M | 112K | – |
| TETRA TECH INC NEW | COM | 10M | 59K | – |
| TEXAS CAP BANCSHARES INC | COM | 3M | 41K | – |
| TEXTRON INC | COM | 6M | 74K | – |
| TITAN MACHY INC | COM | 8M | 287K | – |
| TRIUMPH GROUP INC NEW | COM | 7M | 439K | – |
| ULTRA CLEAN HLDGS INC | COM | 11M | 320K | – |
| UNITED BANKSHARES INC WEST V | COM | 4M | 104K | – |
| UNITED STATES STL CORP NEW | COM | 7M | 140K | – |
| VALERO ENERGY CORP | COM | 4M | 29K | – |
| VERITEX HLDGS INC | COM | 5M | 227K | – |
| VISHAY INTERTECHNOLOGY INC | COM | 4M | 185K | – |
| WAFD INC | COM | 7M | 217K | – |
| WEBSTER FINL CORP | COM | 11M | 221K | – |
| WESTERN DIGITAL CORP. | COM | 5M | 86K | – |
| WESTLAKE CORPORATION | COM | 4M | 32K | – |
| WEX INC | COM | 7M | 34K | – |
| WILLIAMS SONOMA INC | COM | 6M | 28K | – |
| ZOOM VIDEO COMMUNICATIONS IN | CL A | 5M | 76K | – |