Smith Group Asset Management, LLC

RIASEC Registered
Total AUM
$1.4B
Discretionary
$1.4B
100% of AUM
Avg account
$608K
Accounts
2,320
Employees
14
Advisory reps
9

Firm details

Headquarters
Dallas, Texas
CRD number
313265
Registered since
May 5, 2021
Custodians
UMB FINANCIAL SERVICES, INC., UBS FINANCIAL SERVICES INC.
Fee structure
Percentage of AUM
Client types
  • HNWI55.48%
  • State / Municipal Government16.32%
  • Charitable Organizations12.89%
  • Pension & Profit Sharing Plans9.73%
  • Investment Companies2.79%
Services
Portfolio Management for IndividualsPortfolio Management for Investment CompaniesPortfolio Management for Pooled Investment VehiclesPortfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

Smith Group Asset Management, LLC is a privately held limited liability company that provides fee-based investment advisory services to both individual/family clients and institutional investors. The firm is registered with the SEC (registered in 2021) and charges clients on a percentage-of-assets-under-management basis. Its advisory scope spans discretionary portfolio management for individuals and small businesses, investment companies, pooled investment vehicles, and institutions; the firm also provides pension consulting services. Operationally, the firm is not positioned as an ESG-focused manager and is not labeled a multi-state or newly formed adviser. Ownership is reported as a domestic entity/individual. Smith Group maintains a set of industry affiliations that extend beyond traditional advisory activity — filings list relationships consistent with broker-dealer activity, other investment advisory roles, futures and swaps capacity (including CPO/CTA and registered security-based swap dealer designations), and sponsor/GP/manager roles for pooled investment vehicles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Exchange Traded Equities 98%, Cash & Cash Equivalents 2%98%
  • Exchange Traded Equities98%
  • Cash & Cash Equivalents2%

Owners & executives

FINTRX

Contacts

FINTRX

Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

ETF holdings

1 of 2

Active vs passive

$873K in ETFs

Passive

100%

$873K

Active

0%

$0

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES MSCI TAIWAN ETF (EWT)BlackRockPassiveChina Region$444K3,93050.81%

Location

Primary office

Dallas, TX

Dallas

Location

Dallas, TX

Headquartered in Dallas, TX, anchoring the Dallas-Fort Worth, TX-OK metro in the South.

Metro area
Dallas-Fort Worth, TX-OK
Region
South
County
Dallas
Address
100 Crescent Ct
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth