9AT: SMITH GROUP ASSET MANAGEMENT, LLC

SMITH GROUP ASSET MANAGEMENT, LLC

other names

SMITH GROUP ASSET MANAGEMENT, LLC
SMITH ASSET GROUP MANAGEMENT, LLC
SMITH ASSET MANAGEMENT GROUP

Adviser Profile

As of Date	03/26/2026
Registration	SEC, Approved, 05/05/2021
ADV Location	DALLAS, TX, United States
Contact Info	214 xxxxxxx
Websites

AUM^*	2,213,828,483 5%
of that, discretionary	2,213,828,483 5%
Private Fund GAV^*	0 -100%
Avg Account Size	952,594 -67%
% High Net Worth	98.92% 3%
SMA’s	No
Private Funds	0

Adviser Type

- Large advisory firm
- An investment adviser (or subadviser) to an investment company
- Pension consultant

Number of Employees 14 -7%

of those in investment advisory functions 12 50%

Client Types

- High net worth individuals
- Investment companies
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

Reported AUM

2B 2B 1B 1B 898M 599M 299M

2021 2022 2023

Discretionary

Non-discretionary

Private Funds

GAV Count

Employees

Brochure Summary

Overview

Smith Group is a registered investment advisory firm established in 2021. Smith Group is majority owned by Cantor Fitzgerald Investment Advisors, L.P., a registered investment advisor. Smith Group focuses on providing equity investment advisory services. Smith Group manages the investment and reinvestment of clients’ assets through the investment in various securities including equities, and, in certain cases, money market instruments. Investment advisory services are offered in the marketplace under the following names: Cantor Fitzgerald, Cantor Fitzgerald Asset Management and Smith Group. Currently the firm manages assets for a diverse list of clients that includes individuals, high net worth individuals, banking and thrift institutions, investment companies including mutual funds, corporate pension and profit-sharing plans, multi-employer plans, other pooled investment vehicles, charitable institutions, corporations, and businesses not listed above, state or municipal government entities, WRAP platforms and UMA’s. Smith Group uses a team of portfolio managers to provide advisory services to clients. Because Smith Group is primarily in the business of managing equity portfolios, the typical investment objective of our clients is to produce investment

performance that exceeds that of a stock market benchmark. To ensure that portfolios are consistently managed, a model portfolio approach is generally utilized and all clients utilizing the same investment strategy receive similar securities with appropriate consideration given to any client’s specific restrictions and tailored needs. Smith Group seeks to and does act as a portfolio manager for wrap fee programs. Smith Group employs the same model portfolio approach in the management of wrap fee program accounts as is utilized for non-wrap fee program accounts. Smith Group also seeks to and does serve as sub-advisor for unified managed accounts, multiple strategy portfolios, multiple discipline accounts, and other forms of model portfolio structures (collectively “UMA’s”). Within these UMA’s Smith Group generally does not have final security selection authority and serves in a sub- advisor role recommending security buys/sells and target position weightings to the client’s advisor. As of December 31, 2022, Smith Group’s assets under management and advisement were: U.S. Dollar Amount t Managed on a discretionary basis $ 1,964,631,433 Managed on a non-discretionary basis $ 0 Assets under Advisement $ 311,177,155 5