Smith Asset Management Co., LLC — 13F Holdings & Portfolio
CIK 2068217 · latest 13F-HR filed 2026-10-16
Smith Asset Management Co., LLC manages $122.7M in 13F-reported U.S. long-equity assets across 73 reported positions as of its 2026-09-30 13F-HR filing. Its largest disclosed positions are BRK.B (6.29%), ARCC (5.48%), JPC (4.86%). Quarter over quarter (versus its 2026-06-30 filing) the fund opened 5 new positions and exited 2; 9 existing positions rose in reported value and 48 fell.
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.
Loading holdings…
AUM
$122.7M
Long-equity book
Holdings
73
Distinct positions
Period
2026-09-30
Filed 2026-10-16
Q/Q Activity
+5 / −2 / ↑9 / ↓48
vs 2026-06-30
Portfolio charts
Latest quarter's book, what changed, and how the portfolio has evolved across filings.
Portfolio map
Q3 26BRK.B6.3% · -3%ARCC5.5% · +1%JPC4.9% · -2%VGT4.7% · +1%SPY3.8% · +3%CSQ3.6% · -6%AAPL3.4% · -5%DNP3.0% · -2%AWF3.0% · -3%VIS2.9% · +10%RFI2.8% · -1%FFA2.7% · -2%MCI2.4% · -1%QQQ2.3% · +40%MSFT2.3% · +8%PCN2.1% · -2%BGY2.1% · -6%BTZ2.0% · -1%UTG2.0% · -2%NLY1.9% · -0%HQH1.9% · -1%PSF1.9% · -2%UTF1.8% · -3%PDI1.8% · -1%AMZN1.6% · +11%FLC1.6% · -2%PTY1.5% · -1%DSU1.4% · +1%DFP1.4% · -0%VTV1.1% · +23%BUI1.1% · +0%DIA1.0% · +127%GOF1.0% · +1%SPYM1.0% · +2%SOR0.9% · -9%GRID0.9% · +39%FFC0.9% · +1%ASGI0.9% · -4%MPV0.8% · -0%GDO0.8% · -4%NVG0.7% · -1%RNP0.7% · -0%PFD0.6% · -2%OHI0.6% · -4%STK0.6% · -18%BME0.6% · -6%SPH0.5% · -1%BLW0.5% · -1%GOOGL0.5% · -1%OUT0.4% · 0%HYT0.4% · -4%DOC0.4% · -5%VOT0.4% · +0%IRM0.4% · -11%WMT0.4% · +1%MSD0.4% · -4%LDP0.3% · -5%VUG0.3% · newDUK0.2% · -5%AMGN0.2% · 0%
Box size = position value; colour = change in share count vs the prior quarter (green added, red trimmed, blue new). Rows split across managers or share classes are combined. Click a box for the stock.
Sector mix
% of 13F valueSectors from each company's SIC code; funds and ETFs grouped separately.
Biggest buys and sells
Q2 26 → Q3 26Estimated from the change in shares held × the quarter-end price, so price moves alone don't count as buying. New and exited positions are included.
13F assets and positions
5 quartersTotal reported 13F value (bars) and number of positions (line) each quarter. Value changes include market moves.
Top positions over time
reported valueThe eight largest current positions, valued at each quarter end.
Concentration
top 10 = 41%Cumulative share of the portfolio held in the largest N positions.
Firm Profile & Key People
As of the firm’s regulatory filing dated Jul 10, 2026.
Assets Under Management
$1.41B
Discretionary
$1.41B
Employees
14
Accounts
2,320
Address
100 CRESCENT COURT
DALLAS, TX 75201
DALLAS, TX 75201
Phone
(214) 880-4600
This firm reports 4 disclosure items on its registration.
| Name | Title / Status | Ownership | Type |
|---|---|---|---|
| BRAJER, ADAM, MARC Control | GENERAL COUNSEL AND SECRETARY since Aug 2025 | Less than 5% | Individual |
| Brim, John, David Control | PRESIDENT AND CHIEF INVESTMENT OFFICER since Jul 2021 | Less than 5% | Individual |
| CANTOR FITZGERALD INVESTMENT ADVISORS Control | MANAGING MEMBER since Feb 2021 | 75% or more | Domestic Entity |
| FERRI, WILLIAM, JOSEPH Control | GLOBAL HEAD OF ASSET MANAGEMENT since Jun 2022 | Less than 5% | Individual |
| KARLE, WALTER, DESMOND Control | CHIEF COMPLIANCE OFFICER since Sep 2023 | Less than 5% | Individual |
| PAULSON, KENNETH, MICHAEL Control | CHIEF FINANCIAL OFFICER since Feb 2021 | Less than 5% | Individual |
| BGL MANAGEMENTTRUST Control Indirect owner via CF GROUP MANAGEMENT, INC. | SHAREHOLDER since Oct 2025 | 25–50% | Domestic Entity |
| CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC Control Indirect owner via CANTOR FITZGERALD INVESTMENT ADVISORS | MANAGING GENERAL PARTNER since Feb 2010 | General partner, trustee or manager | Domestic Entity |
| CANTOR FITZGERALD, L.P. Control Indirect owner via CFAM HOLDINGS, LLC | MEMBER since Jun 2005 | 75% or more | Domestic Entity |
| CF GROUP MANAGEMENT, INC. Control Indirect owner via CANTOR FITZGERALD, L.P. | MANAGING GENERAL PARTNER since Jan 2010 | General partner, trustee or manager | Domestic Entity |
| CFAM HOLDINGS, LLC Control Indirect owner via CANTOR FITZGERALD INVESTMENT ADVISORS | MEMBER since May 2025 | 75% or more | Domestic Entity |
| CFAM HOLDINGS, LLC Control Indirect owner via CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC | MEMBER since May 2025 | 75% or more | Domestic Entity |
| CJL MANAGEMENT TRUST Control Indirect owner via CF GROUP MANAGEMENT, INC. | SHAREHOLDER since Oct 2025 | 25–50% | Domestic Entity |
| KSL MANAGEMENT TRUST Control Indirect owner via CF GROUP MANAGEMENT, INC. | SHAREHOLDER since Oct 2025 | 25–50% | Domestic Entity |
| LUTNICK, BRANDON, GERALD Control Indirect owner via DYNASTY TRUST A | CONTROLLING TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, BRANDON, GERALD Control Indirect owner via KSL MANAGEMENT TRUST | CONTROLLING TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, BRANDON, GERALD Control Indirect owner via BGL MANAGEMENTTRUST | CONTROLLING TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, BRANDON, GERALD Control Indirect owner via CJL MANAGEMENT TRUST | CONTROLLING TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, BRANDON, GERALD Control Indirect owner via RGL MANAGEMENT TRUST | CONTROLLING TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, BRANDON, GERALD Control Indirect owner via CF GROUP MANAGEMENT, INC. | CHIEF EXECUTIVE OFFICER since Oct 2025 | General partner, trustee or manager | Individual |
| RGL MANAGEMENT TRUST Control Indirect owner via CF GROUP MANAGEMENT, INC. | SHAREHOLDER since Oct 2025 | 25–50% | Domestic Entity |
| DYNASTY TRUST A Indirect owner via CF GROUP MANAGEMENT, INC. | SHAREHOLDER since Oct 2025 | 75% or more | Domestic Entity |
| DYNASTY TRUST A Indirect owner via CANTOR FITZGERALD, L.P. | LIMITED PARTNER since Oct 2025 | 50–75% | Domestic Entity |
| LUTNICK, CASEY, J Indirect owner via DYNASTY TRUST A | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, CASEY, J Indirect owner via KSL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, CASEY, J Indirect owner via BGL MANAGEMENTTRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, CASEY, J Indirect owner via CJL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, CASEY, J Indirect owner via RGL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, KYLE, S Indirect owner via DYNASTY TRUST A | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, KYLE, S Indirect owner via KSL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, KYLE, S Indirect owner via CJL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, KYLE, S Indirect owner via CJL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| LUTNICK, KYLE, S Indirect owner via RGL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| Lutnick, Ryan, G Indirect owner via DYNASTY TRUST A | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| Lutnick, Ryan, G Indirect owner via KSL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| Lutnick, Ryan, G Indirect owner via BGL MANAGEMENTTRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| Lutnick, Ryan, G Indirect owner via CJL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
| Lutnick, Ryan, G Indirect owner via RGL MANAGEMENT TRUST | TRUSTEE since Oct 2025 | General partner, trustee or manager | Individual |
Ownership & leadership changes · 8 filings with changes since Mar 12, 2021
From the firm’s regulatory filings, newest first. Dates are filing dates: a filing that no longer lists someone does not say when they left.
Jul 10, 2026 filing
- AddedCFAM HOLDINGS, LLC · MEMBER · 75% or more · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS · control person
- ChangedCANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS: title MEMBER → MANAGING GENERAL PARTNER; ownership 75% or more → General partner, trustee or manager
Jul 6, 2026 filing
- No longer listedDALLAS ADVISORS, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via SMITH GROUP ASSET MANAGEMENT · control person · listed since Jan 2008
- No longer listedSMITH GROUP ASSET MANAGEMENT · MEMBER · 25–50% · control person · listed since Jul 2021
- No longer listedSMITH GROUP EMPLOYEE PARTNER 1, LLC · LIMITED PARTNER · 25–50% · indirect via SMITH GROUP ASSET MANAGEMENT · control person · listed since Apr 2008
- No longer listedSMITH GROUP EMPLOYEE PARTNER 2, LLC · LIMITED PARTNER · General partner, trustee or manager · indirect via SMITH GROUP ASSET MANAGEMENT · control person · listed since Apr 2008
- No longer listedSMITH, STEPHEN, SPENCER · CEO, CHAIRMAN OF INVESTMENT COMMITTEE · Less than 5% · control person · listed since Jul 2021
- No longer listedSMITH, STEPHEN, SPENCER · LIMITED PARTNER · 25–50% · indirect via SMITH GROUP EMPLOYEE PARTNER 1, LLC · control person · listed since Apr 2008
- ChangedCANTOR FITZGERALD INVESTMENT ADVISORS · ownership 50–75% → 75% or more
Oct 21, 2025 filing
- No longer listedCANTOR FITZGERALD, L.P. · SOLE MEMBER · 75% or more · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC · control person · listed since Jun 2005
- No longer listedHOWARD W. LUTNICK PERSONAL ASSET TRUST · LIMITED PARTNER · 25–50% · indirect via CANTOR FITZGERALD, L.P. · control person · listed since Nov 2011
- No longer listedHOWARD W. LUTNICK REVOCABLE TRUST · SHAREHOLDER · 75% or more · indirect via CF GROUP MANAGEMENT, INC. · control person · listed since Nov 2011
- No longer listedJONES, JOHN, JOSEPH · SENIOR MANAGING DIRECTOR & SECRETARY · Less than 5% · control person · listed since Feb 2021
- No longer listedLUTNICK, HOWARD, WILLIAM · SOLE TRUSTEE · 75% or more · indirect via HOWARD W. LUTNICK PERSONAL ASSET TRUST · control person · listed since May 2009
- No longer listedLUTNICK, HOWARD, WILLIAM · SOLE TRUSTEE · 75% or more · indirect via HOWARD W. LUTNICK REVOCABLE TRUST · control person · listed since Jan 2010
- No longer listedMILLARD, MICHAEL, GERARD · SENIOR VICE PRESIDENT · Less than 5% · control person · listed since Feb 2021
- AddedBGL MANAGEMENTTRUST · SHAREHOLDER · 25–50% · indirect via CF GROUP MANAGEMENT, INC. · control person
- AddedBRAJER, ADAM, MARC · GENERAL COUNSEL AND SECRETARY · Less than 5% · control person
- AddedCANTOR FITZGERALD, L.P. · MEMBER · 75% or more · indirect via CFAM HOLDINGS, LLC · control person
- AddedCFAM HOLDINGS, LLC · MEMBER · 75% or more · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC · control person
- AddedCJL MANAGEMENT TRUST · SHAREHOLDER · 25–50% · indirect via CF GROUP MANAGEMENT, INC. · control person
- AddedDYNASTY TRUST A · SHAREHOLDER · 75% or more · indirect via CF GROUP MANAGEMENT, INC.
- AddedDYNASTY TRUST A · LIMITED PARTNER · 50–75% · indirect via CANTOR FITZGERALD, L.P.
- AddedKSL MANAGEMENT TRUST · SHAREHOLDER · 25–50% · indirect via CF GROUP MANAGEMENT, INC. · control person
- AddedLUTNICK, BRANDON, GERALD · CONTROLLING TRUSTEE · General partner, trustee or manager · indirect via DYNASTY TRUST A · control person
- AddedLUTNICK, BRANDON, GERALD · CONTROLLING TRUSTEE · General partner, trustee or manager · indirect via KSL MANAGEMENT TRUST · control person
- AddedLUTNICK, BRANDON, GERALD · CONTROLLING TRUSTEE · General partner, trustee or manager · indirect via BGL MANAGEMENTTRUST · control person
- AddedLUTNICK, BRANDON, GERALD · CONTROLLING TRUSTEE · General partner, trustee or manager · indirect via CJL MANAGEMENT TRUST · control person
- AddedLUTNICK, BRANDON, GERALD · CONTROLLING TRUSTEE · General partner, trustee or manager · indirect via RGL MANAGEMENT TRUST · control person
- AddedLUTNICK, BRANDON, GERALD · CHIEF EXECUTIVE OFFICER · General partner, trustee or manager · indirect via CF GROUP MANAGEMENT, INC. · control person
- AddedLUTNICK, CASEY, J · TRUSTEE · General partner, trustee or manager · indirect via DYNASTY TRUST A
- AddedLUTNICK, CASEY, J · TRUSTEE · General partner, trustee or manager · indirect via KSL MANAGEMENT TRUST
- AddedLUTNICK, CASEY, J · TRUSTEE · General partner, trustee or manager · indirect via BGL MANAGEMENTTRUST
- AddedLUTNICK, CASEY, J · TRUSTEE · General partner, trustee or manager · indirect via CJL MANAGEMENT TRUST
- and 11 more
Apr 28, 2025 filing
- No longer listedKAPLAN, MARK, ELLIOT · CHIEF OPERATING OFFICER · Less than 5% · control person · listed since Feb 2021
Sep 18, 2023 filing
- No longer listedMERKEL, STEPHEN, MARCUS · GENERAL COUNSEL AND SECRETARY · Less than 5% · control person · listed since Feb 2021
- No longer listedNEUMANN, LUCINDA · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Jul 2021
- AddedJONES, JOHN, JOSEPH · SENIOR MANAGING DIRECTOR & SECRETARY · Less than 5% · control person
- Listed againKARLE, WALTER, DESMOND · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
Mar 29, 2023 filing
- No longer listedANZALONE, THOMAS, JOSEPH · CHIEF OPERATIONS OFFICER · Less than 5% · control person · listed since Feb 2021
- AddedFERRI, WILLIAM, JOSEPH · GLOBAL HEAD OF ASSET MANAGEMENT · Less than 5% · control person
- AddedKAPLAN, MARK, ELLIOT · CHIEF OPERATING OFFICER · Less than 5% · control person
- ChangedMILLARD, MICHAEL, GERARD · title GLOBAL HEAD OF ASSET MANAGEMENT → SENIOR VICE PRESIDENT
Mar 30, 2022 filing
- ChangedBrim, John, David · title CHIEF INVESTMENT OFFICER → PRESIDENT AND CHIEF INVESTMENT OFFICER
Jul 7, 2021 filing
- No longer listedKARLE, WALTER, DESMOND · CHIEF COMPLIANCE OFFICER · Less than 5% · control person · listed since Feb 2021
- AddedBrim, John, David · CHIEF INVESTMENT OFFICER · Less than 5% · control person
- AddedDALLAS ADVISORS, LLC · GENERAL PARTNER · General partner, trustee or manager · indirect via SMITH GROUP ASSET MANAGEMENT · control person
- AddedNEUMANN, LUCINDA · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- AddedSMITH GROUP ASSET MANAGEMENT · MEMBER · 25–50% · control person
- AddedSMITH GROUP EMPLOYEE PARTNER 1, LLC · LIMITED PARTNER · 25–50% · indirect via SMITH GROUP ASSET MANAGEMENT · control person
- AddedSMITH GROUP EMPLOYEE PARTNER 2, LLC · LIMITED PARTNER · General partner, trustee or manager · indirect via SMITH GROUP ASSET MANAGEMENT · control person
- AddedSMITH, STEPHEN, SPENCER · CEO, CHAIRMAN OF INVESTMENT COMMITTEE · Less than 5% · control person
- AddedSMITH, STEPHEN, SPENCER · LIMITED PARTNER · 25–50% · indirect via SMITH GROUP EMPLOYEE PARTNER 1, LLC · control person
- ChangedCANTOR FITZGERALD INVESTMENT ADVISORS · title SOLE MEMBER → MANAGING MEMBER; ownership 75% or more → 50–75%
Mar 12, 2021 filing (earliest on record)
- ListedANZALONE, THOMAS, JOSEPH · CHIEF OPERATIONS OFFICER · Less than 5% · control person
- ListedCANTOR FITZGERALD INVESTMENT ADVISORS · SOLE MEMBER · 75% or more · control person
- ListedCANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC · MEMBER · 75% or more · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS · control person
- ListedCANTOR FITZGERALD, L.P. · SOLE MEMBER · 75% or more · indirect via CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC · control person
- ListedCF GROUP MANAGEMENT, INC. · MANAGING GENERAL PARTNER · General partner, trustee or manager · indirect via CANTOR FITZGERALD, L.P. · control person
- ListedHOWARD W. LUTNICK PERSONAL ASSET TRUST · LIMITED PARTNER · 25–50% · indirect via CANTOR FITZGERALD, L.P. · control person
- ListedHOWARD W. LUTNICK REVOCABLE TRUST · SHAREHOLDER · 75% or more · indirect via CF GROUP MANAGEMENT, INC. · control person
- ListedKARLE, WALTER, DESMOND · CHIEF COMPLIANCE OFFICER · Less than 5% · control person
- ListedLUTNICK, HOWARD, WILLIAM · SOLE TRUSTEE · 75% or more · indirect via HOWARD W. LUTNICK PERSONAL ASSET TRUST · control person
- ListedLUTNICK, HOWARD, WILLIAM · SOLE TRUSTEE · 75% or more · indirect via HOWARD W. LUTNICK REVOCABLE TRUST · control person
- ListedMERKEL, STEPHEN, MARCUS · GENERAL COUNSEL AND SECRETARY · Less than 5% · control person
- ListedMILLARD, MICHAEL, GERARD · GLOBAL HEAD OF ASSET MANAGEMENT · Less than 5% · control person
- ListedPAULSON, KENNETH, MICHAEL · CHIEF FINANCIAL OFFICER · Less than 5% · control person
Quarter-over-quarter changes
Changes in reported position value vs the prior 13F, so price moves count too, not just shares bought or sold.
Top Adds (vs prior quarter)
- MICROSOFT CORP$917.4K +48.5%
- INVESCO QQQ TR$825.1K +40.8%
- STATE STR SPDR DOW JONES IND$681.0K +121.3%
- APPLE INC$358.2K +9.3%
- VANGUARD WORLD FD$330.0K +6.0%
Top Trims
- NUVEEN PFD & INCOME OPPORTUN-$1.1M -15.1%
- DNP SELECT INCOME FD INC-$547.7K -12.8%
- REAVES UTIL INCOME FD-$509.7K -16.9%
- PIMCO DYNAMIC INCOME FD-$454.5K -16.9%
- ANNALY CAPITAL MANAGEMENT IN-$442.9K -15.8%
New Positions
- VANGUARD INDEX FDS$328.9K
- ALPHABET INC$236.4K
- FIRST TR EXCHANGE TRADED FD$224.5K
- VANGUARD INDEX FDS$208.9K
- ABRDN GLOBAL INFRA INCOME FU$680
Smith Asset Management Co., LLC Holdings (2026-09-30)
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 | $7.7M | 6.29% | 15,501 | SH |
| 2 | ARES CAPITAL CORP | ARCC | 04010L103 | $6.7M | 5.48% | 352,408 | SH |
| 3 | NUVEEN PFD & INCOME OPPORTUN | JPC | 67073B106 | $6.0M | 4.86% | 874,373 | SH |
| 4 | VANGUARD WORLD FD | VGT | 92204A702 | $5.8M | 4.72% | 46,070 | SH |
| 5 | STATE STR SPDR S&P 500 ETF T | SPY | 78462F103 | $4.7M | 3.83% | 6,168 | SH |
| 6 | CALAMOS STRATEGIC TOTAL RETU | CSQ | 128125101 | $4.4M | 3.56% | 214,209 | SH |
| 7 | APPLE INC | AAPL | 037833100 | $4.2M | 3.43% | 12,626 | SH |
| 8 | DNP SELECT INCOME FD INC | DNP | 23325P104 | $3.7M | 3.04% | 389,428 | SH |
| 9 | ALLIANCEBERNSTEIN GLOBAL HIG | AWF | 01879R106 | $3.6M | 2.97% | 374,429 | SH |
| 10 | VANGUARD WORLD FD | VIS | 92204A603 | $3.5M | 2.85% | 10,920 | SH |
| 11 | COHEN & STEERS TOTAL RETURN | RFI | 19247R103 | $3.5M | 2.81% | 328,916 | SH |
| 12 | FIRST TR ENHANCED EQUITY | FFA | 337318109 | $3.3M | 2.66% | 146,891 | SH |
| 13 | BARINGS CORPORATE INVS | MCI | 06759X107 | $3.0M | 2.41% | 167,534 | SH |
| 14 | INVESCO QQQ TR | QQQ | 46090E103 | $2.8M | 2.32% | 3,849 | SH |
| 15 | MICROSOFT CORP | MSFT | 594918104 | $2.8M | 2.29% | 5,473 | SH |
| 16 | PIMCO CORPORATE & INCM STRG | PCN | 72200U100 | $2.5M | 2.07% | 237,763 | SH |
| 17 | BLACKROCK ENHANCED INTL DIV | BGY | 092524107 | $2.5M | 2.07% | 450,171 | SH |
| 18 | BLACKROCK CR ALLOCATION | BTZ | 092508100 | $2.5M | 2.05% | 269,620 | SH |
| 19 | REAVES UTIL INCOME FD | UTG | 756158101 | $2.5M | 2.04% | 72,740 | SH |
| 20 | ANNALY CAPITAL MANAGEMENT IN | NLY | 035710839 | $2.4M | 1.93% | 125,397 | SH |
| 21 | ABRDN HEALTHCARE INVESTORS | HQH | 87911J103 | $2.3M | 1.89% | 111,254 | SH |
| 22 | COHEN & STEERS SELECT PFD & | PSF | 19248Y107 | $2.3M | 1.88% | 126,979 | SH |
| 23 | COHEN & STEERS INFRASTRUCTUR | UTF | 19248A109 | $2.2M | 1.83% | 90,908 | SH |
| 24 | PIMCO DYNAMIC INCOME FD | PDI | 72201Y101 | $2.2M | 1.82% | 159,036 | SH |
| 25 | AMAZON COM INC | AMZN | 023135106 | $2.0M | 1.59% | 7,847 | SH |
| 26 | FLAHERTY & CRUMRINE TOTAL RE | FLC | 338479108 | $1.9M | 1.56% | 121,220 | SH |
| 27 | PIMCO CORPORATE & INCOME OPP | PTY | 72201B101 | $1.8M | 1.48% | 165,436 | SH |
| 28 | BLACKROCK DEBT STRATEGIES FD | DSU | 09255R202 | $1.8M | 1.44% | 196,494 | SH |
| 29 | FLAHERTY & CRUMRINE DYNAMIC | DFP | 33848W106 | $1.8M | 1.43% | 93,260 | SH |
| 30 | VANGUARD INDEX FDS | VTV | 922908744 | $1.3M | 1.10% | 6,229 | SH |
| 31 | BLACKROCK UTILS INFRASTRUCTU | BUI | 09248D104 | $1.3M | 1.07% | 52,564 | SH |
| 32 | STATE STR SPDR DOW JONES IND | DIA | 78467X109 | $1.2M | 1.01% | 2,443 | SH |
| 33 | GUGGENHEIM STRATEGIC OPPORTU | GOF | 40167F101 | $1.2M | 0.98% | 141,021 | SH |
| 34 | SPDR SERIES TRUST | SPYM | 78464A854 | $1.2M | 0.97% | 13,224 | SH |
| 35 | SOURCE CAPITAL | SOR | 836144303 | $1.2M | 0.94% | 25,455 | SH |
| 36 | FIRST TR EXCHANGE-TRADED FD | GRID | 33737A108 | $1.1M | 0.94% | 6,490 | SH |
| 37 | FLAHERTY & CRUMRIN PFD & INM | FFC | 338478100 | $1.1M | 0.92% | 75,792 | SH |
| 38 | ABRDN GLOBAL INFRA INCOME FU | ASGI | 00326W106 | $1.0M | 0.86% | 54,321 | SH |
| 39 | BARINGS PARTN INVS | MPV | 06761A103 | $1.0M | 0.85% | 67,645 | SH |
| 40 | WSTRN AST GLBL CORP OPP FD I | GDO | 95790C107 | $1.0M | 0.83% | 106,426 | SH |
| 41 | NUVEEN AMT FREE MUN CR INC F | NVG | 67071L106 | $911.7K | 0.74% | 85,926 | SH |
| 42 | COHEN & STEERS REIT & PFD & | RNP | 19247X100 | $843.6K | 0.69% | 45,232 | SH |
| 43 | FLAHERTY & CRUMRINE PFD INCO | PFD | 338480106 | $769.7K | 0.63% | 71,468 | SH |
| 44 | OMEGA HEALTHCARE INVS INC | OHI | 681936100 | $694.5K | 0.57% | 14,997 | SH |
| 45 | COLUMBIA SELIGM PREM TECH GR | STK | 19842X109 | $693.7K | 0.57% | 12,901 | SH |
| 46 | BLACKROCK HEALTH SCIENCES TR | BME | 09250W107 | $674.6K | 0.55% | 15,287 | SH |
| 47 | SUBURBAN PROPANE PARTNERS L | SPH | 864482104 | $672.7K | 0.55% | 40,920 | SH |
| 48 | BLACKROCK LTD DURATION INCOM | BLW | 09249W101 | $605.3K | 0.49% | 52,680 | SH |
| 49 | ALPHABET INC | GOOGL | 02079K305 | $576.0K | 0.47% | 1,674 | SH |
| 50 | OUTFRONT MEDIA INC | OUT | 69007J304 | $537.1K | 0.44% | 19,354 | SH |
Filing History
| Period | Filed | AUM | Holdings | Accession |
|---|---|---|---|---|
| 2026-09-30 | 2026-10-16 | $122.7M | 73 | 0001172661-26-004582 |
| 2026-06-30 | 2026-07-14 | $127.1M | 70 | 0001172661-26-002606 |
| 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 |
Filer Information
Address
322 E PARK AVECHIEFLAND, FL 32626
Phone
(352) 493-7700
Filing Manager
Smith Asset Management Co., LLC
Chiefland, FL
Signatory
BENJAMIN S. SMITH
Chief Compliance Officer, Managing Member, President