Smith Asset Management Co., LLC — 13F Holdings & Portfolio
CIK 2068217 · latest 13F-HR filed 2026-05-15
AUM is the long-equity portion reported on Form 13F-HR. Excludes short positions, cash, foreign holdings, and non-13F assets. For informational purposes only — not investment advice.
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AUM
$116.5M
Long-equity book
Holdings
71
Distinct positions
Period
2026-03-31
Filed 2026-05-15
Q/Q Activity
+3 / −2 / ↑22 / ↓21
vs 2025-12-31
Firm Profile & Key People
| Name | Title / Status | Ownership | Type |
|---|
Top Adds (vs prior quarter)
- MICROSOFT CORP$580.7K +138.6%
- VANGUARD WORLD FD$341.5K +16.1%
- INVESCO QQQ TR$255.9K +31.3%
- VANGUARD WORLD FD$230.4K +58.6%
- COHEN & STEERS REIT & PFD &$187.0K +26.5%
Top Trims
- NUVEEN PFD & INCOME OPPORTUN-$638.1K -8.5%
- CALAMOS STRATEGIC TOTAL RETU-$364.7K -8.5%
- FLAHERTY & CRUMRINE PFD INCO-$352.2K -29.8%
- BLACKROCK ENHANCED INTL DIV-$303.0K -10.4%
- ALLIANCEBERNSTEIN GLOBAL HIG-$290.6K -6.8%
New Positions
- FLAHERTY & CRUMRINE PFD INCO$287.6K
- PUTNAM MUN OPPORTUNITIES TR$141.5K
- BLACKROCK UTILS INFRASTRUCTU$426
All Holdings
Rows tagged Call or Put are options positions, not stock. Per SEC Form 13F-HR, Value shows the notional value of the underlying (shares covered × underlying price), not the option premium. Shares is the number of underlying shares covered (divide by 100 for contract count).
| # | Issuer | Symbol | CUSIP | Value | Weight | Shares | Type |
|---|---|---|---|---|---|---|---|
| 1 | BERKSHIRE HATHAWAY INC DEL | BRK.B | 084670702 | $7.4M | 6.39% | 15,543 | SH |
| 2 | NUVEEN PFD & INCOME OPPORTUN | JPC | 67073B106 | $6.9M | 5.90% | 911,404 | SH |
| 3 | ARES CAPITAL CORP | ARCC | 04010L103 | $6.2M | 5.32% | 344,279 | SH |
| 4 | DNP SELECT INCOME FD INC | DNP | 23325P104 | $4.1M | 3.55% | 401,931 | SH |
| 5 | ALLIANCEBERNSTEIN GLOBAL HIG | AWF | 01879R106 | $4.0M | 3.44% | 394,097 | SH |
| 6 | CALAMOS STRATEGIC TOTAL RETU | CSQ | 128125101 | $3.9M | 3.38% | 229,856 | SH |
| 7 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $3.9M | 3.34% | 5,981 | SH |
| 8 | COHEN & STEERS TOTAL RETURN | RFI | 19247R103 | $3.8M | 3.25% | 339,631 | SH |
| 9 | VANGUARD WORLD FD | VGT | 92204A702 | $3.4M | 2.92% | 4,883 | SH |
| 10 | APPLE INC | AAPL | 037833100 | $3.2M | 2.76% | 12,665 | SH |
| 11 | FIRST TR ENHANCED EQUITY | FFA | 337318109 | $3.1M | 2.68% | 153,242 | SH |
| 12 | BARINGS CORPORATE INVS | MCI | 06759X107 | $3.0M | 2.56% | 172,921 | SH |
| 13 | REAVES UTIL INCOME FD | UTG | 756158101 | $3.0M | 2.54% | 75,380 | SH |
| 14 | PIMCO CORPORATE & INCM STRG | PCN | 72200U100 | $2.9M | 2.50% | 244,440 | SH |
| 15 | BLACKROCK CR ALLOCATION | BTZ | 092508100 | $2.8M | 2.39% | 276,288 | SH |
| 16 | PIMCO DYNAMIC INCOME FD | PDI | 72201Y101 | $2.8M | 2.39% | 162,492 | SH |
| 17 | ANNALY CAPITAL MANAGEMENT IN | NLY | 035710839 | $2.7M | 2.29% | 126,009 | SH |
| 18 | BLACKROCK ENHANCED INTL DIV | BGY | 092524107 | $2.6M | 2.24% | 481,880 | SH |
| 19 | COHEN & STEERS SELECT PFD & | PSF | 19248Y107 | $2.5M | 2.17% | 130,560 | SH |
| 20 | VANGUARD WORLD FD | VIS | 92204A603 | $2.5M | 2.12% | 7,905 | SH |
| 21 | COHEN & STEERS INFRASTRUCTUR | UTF | 19248A109 | $2.5M | 2.11% | 94,880 | SH |
| 22 | FLAHERTY & CRUMRINE TOTAL RE | FLC | 338479108 | $2.1M | 1.80% | 126,131 | SH |
| 23 | ABRDN HEALTHCARE INVESTORS | HQH | 87911J103 | $2.1M | 1.76% | 115,261 | SH |
| 24 | PIMCO CORPORATE & INCOME OPP | PTY | 72201B101 | $2.0M | 1.71% | 165,202 | SH |
| 25 | BLACKROCK DEBT STRATEGIES FD | DSU | 09255R202 | $1.9M | 1.64% | 199,531 | SH |
| 26 | FLAHERTY & CRUMRINE DYNAMIC | DFP | 33848W106 | $1.9M | 1.64% | 95,067 | SH |
| 27 | GUGGENHEIM STRATEGIC OPPORTU | GOF | 40167F101 | $1.5M | 1.31% | 138,980 | SH |
| 28 | BLACKROCK UTILS INFRASTRUCTU | BUI | 09248D104 | $1.4M | 1.21% | 53,335 | SH |
| 29 | AMAZON COM INC | AMZN | 023135106 | $1.4M | 1.16% | 6,494 | SH |
| 30 | ABRDN GLOBAL INFRA INCOME FU | ASGI | 00326W106 | $1.3M | 1.13% | 58,654 | SH |
| 31 | SOURCE CAPITAL | SOR | 836144303 | $1.3M | 1.12% | 28,226 | SH |
| 32 | WSTRN AST GLBL CORP OPP FD I | GDO | 95790C107 | $1.2M | 1.04% | 112,660 | SH |
| 33 | FLAHERTY & CRUMRIN PFD & INM | FFC | 338478100 | $1.2M | 1.02% | 76,850 | SH |
| 34 | BARINGS PARTN INVS | MPV | 06761A103 | $1.2M | 1.01% | 68,610 | SH |
| 35 | NUVEEN AMT FREE MUN CR INC F | NVG | 67071L106 | $1.1M | 0.93% | 87,725 | SH |
| 36 | INVESCO QQQ TR | QQQ | 46090E103 | $1.1M | 0.92% | 1,861 | SH |
| 37 | MICROSOFT CORP | MSFT | 594918104 | $999.5K | 0.86% | 2,700 | SH |
| 38 | VANGUARD INDEX FDS | VTV | 922908744 | $998.9K | 0.86% | 5,091 | SH |
| 39 | SPDR SERIES TRUST | SPYM | 78464A854 | $903.2K | 0.78% | 11,801 | SH |
| 40 | COHEN & STEERS REIT & PFD & | RNP | 19247X100 | $892.6K | 0.77% | 45,170 | SH |
| 41 | VANGUARD INDEX FDS | VB | 922908751 | $852.5K | 0.73% | 3,255 | SH |
| 42 | FLAHERTY & CRUMRINE PFD INCO | PFD | 338480106 | $828.0K | 0.71% | 74,065 | SH |
| 43 | SUBURBAN PROPANE PARTNERS L | SPH | 864482104 | $827.3K | 0.71% | 42,016 | SH |
| 44 | OMEGA HEALTHCARE INVS INC | OHI | 681936100 | $723.1K | 0.62% | 16,501 | SH |
| 45 | BLACKROCK LTD DURATION INCOM | BLW | 09249W101 | $693.3K | 0.59% | 55,065 | SH |
| 46 | BLACKROCK HEALTH SCIENCES TR | BME | 09250W107 | $636.5K | 0.55% | 16,529 | SH |
| 47 | VANGUARD WORLD FD | VDE | 92204A306 | $623.3K | 0.53% | 3,602 | SH |
| 48 | COLUMBIA SELIGM PREM TECH GR | STK | 19842X109 | $609.5K | 0.52% | 16,070 | SH |
| 49 | SELECT SECTOR SPDR TR | XLV | 81369Y209 | $606.5K | 0.52% | 4,137 | SH |
| 50 | BLACKROCK CORPOR HI YLD FD I | HYT | 09255P107 | $603.1K | 0.52% | 70,789 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-03-31 | 2026-05-15 | $116.5M | 71 | 0001172661-26-001992 |
| 2025-12-31 | 2026-02-19 | $121.1M | 70 | 0001172661-26-001310 |
| 2025-09-30 | 2025-11-03 | $117.4M | 67 | 0001172661-25-004559 |