SMITH ASSET MANAGEMENT CO., LLC
Adviser information for SMITH ASSET MANAGEMENT CO., LLC last updated from Form ADV on March 8th, 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 | Florida, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 12 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,143 | $233.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1,143 | $233.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 936 | $179.5M |
| HNW Individuals | 19 | $53.0M |
| 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 | 0 | $0 |
| Charitable organizations | 6 | $1.2M |
| State or municipal gov entities | <5 | $76,545 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMHourly charges |
Identifiers
| SEC RIA File Number | 801-81169 |
|---|---|
| SEC ERA File Number | 801-81169 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 127684 |
| Legal Entity Identifier | None |
Principal Office
322 EAST PARK AVENUECHIEFLAND
FL
United States
Monday - Friday, 9:00 A.M.-5:00 P.M.
Tel: 352-493-7700, Fax: 352-490-5337
Chief Compliance Officer
BENJAMIN SHANNON SMITH
PRESIDENT
322 EAST PARK AVENUE
CHIEFLAND
FL
United States
Tel:
352-493-7700
Fax:
352-490-5337
S******@***************G
(Full email address available in API data)
Regulatory Contact
BENJAMIN LARRY SMITH
VICE-PRESIDENT
322 EAST PARK AVENUE
CHIEFLAND
FL
United States
Tel:
352-493-7700
Fax:
352-490-5337
C********@***************G
(Full email address available in API data)
Industry Affiliates
| SMITH LAW FIRM, LLC | Lawyer or law firm |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SMITH, BENJAMIN, SHANNON | Individual | – | PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | 08/2004 | 50-75% |
| SMITH, BENJAMIN, LARRY | Individual | – | OWNER/VICE-PRESIDENT | 08/2004 | 50-75% |