# SMITH BREEDEN ASSOCIATES INC

SMITH BREEDEN ASSOCIATES INC of DURHAM, NC is an SEC-registered investment adviser.

## Registration

- CRD: 104628
- Type: SEC-registered investment adviser
- SEC file number: 801-17567
- Location: 280 SOUTH MANGUM STREET, SUITE 301, DURHAM, NC, 27701-3676
- Phone: 919-967-7221
- Latest filing: 2013-03-27
- Regulatory AUM: $7.8B
- Discretionary AUM: $7.8B
- Clients: 55
- Accounts: 39

## Officers, owners & control persons (29)

_Showing 25 of 29 people._

| Name | Role | Location |
| --- | --- | --- |
| [MILLER DONALD P](https://search.stillhousedata.com/person/749677) | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY; PRINCIPAL/ CONTROLLER; SENIOR VICE PRESIDENT/ CONTROLLER (+1 more) | — |
| [EASON STEPHEN ALCUIN](https://search.stillhousedata.com/person/759578) | DIRECTOR/EXECUTIVE VICE PRESIDENT; DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE; EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | — |
| [GIARLA MICHAEL JOSEPH](https://search.stillhousedata.com/person/759579) | BENEFICIARY; CHAIRMAN; DIRECTOR/CHAIRMAN (+4 more) | — |
| [BREEDEN DOUGLAS TOWER](https://search.stillhousedata.com/person/759580) | CHAIRMAN; CHAIRMAN EMERITUS | — |
| [FLOOD EUGENE](https://search.stillhousedata.com/person/759581) | DIRECTOR; DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER; SHAREHOLDER | — |
| [KON STANLEY J](https://search.stillhousedata.com/person/759582) | DIRECTOR/SENIOR VICE PRESIDENT; EXECUTIVE VICE PRESIDENT | — |
| [MEWKILL MARIANTHE](https://search.stillhousedata.com/person/759583) | DIRECTOR/SENIOR VICE PRESIDENT/SECRETARY/TREASURER/CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER (+2 more) | — |
| [APPEL JOHN CHRISTOPHER](https://search.stillhousedata.com/person/759584) | DIRECTOR | — |
| [BRENNAN MICHAEL JOHN](https://search.stillhousedata.com/person/759585) | DIRECTOR; DIRECTOR/CONSULTANT | — |
| [JESTER LEWIS TURLINGTON](https://search.stillhousedata.com/person/759586) | DIRECTOR | — |
| [SCHWARTZ EDUARDO SAUL](https://search.stillhousedata.com/person/759587) | DIRECTOR/CONSULTANT | — |
| [DEKTAR DANIEL](https://search.stillhousedata.com/person/759588) | DIRECTOR/EXECUTIVE VICE PRESIDENT; DIRECTOR/SENIOR VICE PRESIDENT; EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER (+1 more) | — |
| [ROWE TIMOTHY](https://search.stillhousedata.com/person/759589) | DIRECTOR/PRINCIPAL; DIRECTOR/SENIOR VICE PRESIDENT; PRINCIPAL (+2 more) | — |
| [ODOHERTY MARIANNE](https://search.stillhousedata.com/person/759590) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT; PRINCIPAL/CHIEF COMPLIANCE OFFICER (+1 more) | — |
| [SPROW JOHN](https://search.stillhousedata.com/person/759591) | DIRECTOR/SENIOR VICE PRESIDENT; PRINCIPAL - SENIOR PORTFOLIO MANAGER; PRINCIPAL/SENIOR PORTFOLIO MANAGER (+1 more) | — |
| [SCHWARTZ WILLIAM E](https://search.stillhousedata.com/person/759592) | GENERAL COUNSEL; GENERAL COUNSEL/SECRETARY/SENIOR VICE PRESIDENT; SENIOR VICE PRESIDENT/GENERAL COUNSEL/SECRETARY | — |
| [BREEDEN JENNIFER](https://search.stillhousedata.com/person/761793) | DIRECTOR | — |
| [ANTLE RICKY LEE](https://search.stillhousedata.com/person/761794) | DIRECTOR | — |
| [FANKHAUSER SHARON EARLENE](https://search.stillhousedata.com/person/778473) | DIRECTOR | — |
| [MADIGAN GERALD JOSEPH](https://search.stillhousedata.com/person/778474) | DIRECTOR/SENIOR VICE PRESIDENT | — |
| [ROWE TIMOTHY DURRETT](https://search.stillhousedata.com/person/796966) | DIRECTOR/PRINCIPAL | — |
| [SPROW JOHN BARKER](https://search.stillhousedata.com/person/796967) | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER; DIRECTOR/PRINCIPAL/CHIEF RISK OFFICER | — |
| [SCHWARTZ WILLIAM ERSKINE](https://search.stillhousedata.com/person/796968) | PRINCIPAL/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY; PRINCIPAL/GENERAL COUNSEL; PRINCIPAL/GENERAL COUNSEL/SECRETARY | — |
| [ARGANBRIGHT AMY CAROL](https://search.stillhousedata.com/person/796969) | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS; PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY; PRINCIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | — |
| [ADLER DANIEL ROTHSCHILD](https://search.stillhousedata.com/person/796970) | DIRECTOR/ EXECUTIVE VICE PRESIDENT/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP; DIRECTOR/ EXECUTIVE VICE PRESIDENT/DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP; DIRECTOR/ PRINCIPAL/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | — |


## Private funds (10)

Mix: Hedge Fund 7 · Securitized Asset Fund 3

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| SMITH BREEDEN INSTITUTIONAL SHORT DURATION MASTER LTD. | Hedge Fund | — | 8 | $123.0M | $2.0M |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA ON BEHALF OF ITS SEPARATE ACCOUNT NUMBER VCA-GI-100-7-SB-AR | Hedge Fund | — | 9 | $121.5M | $30.0M |
| SMITH BREEDEN INSTITUTIONAL SHORT DURATION FUND | Hedge Fund | — | 6 | $83.2M | $2.0M |
| SMITH BREEDEN INSTITUTIONAL SHORT DURATION FUND LTD. | Hedge Fund | — | 2 | $39.9M | $2.0M |
| PINE MOUNTAIN CDO LTD | Securitized Asset Fund | — | 1 | $37.6M | $250K |
| METROPOLITAN LIFE INSURANCE COMPANY ON BEHALF OF ITS SEPARATE ACCOUNT NO. 389 | Hedge Fund | — | 6 | $22.7M | $1.0M |
| SMITH BREEDEN SECURITIZED CREDIT OPPORTUNITIES MASTER LTD. | Hedge Fund | — | 9 | $13.2M | $250K |
| SMITH BREEDEN SECURITIZED CREDIT OPPORTUNITIES LLC | Hedge Fund | — | 9 | $13.2M | $250K |
| PINE MOUNTAIN CDO II LTD | Securitized Asset Fund | — | 1 | $8.4M | $250K |
| PINE MOUNTAIN CDO III LTD | Securitized Asset Fund | — | 1 | $518K | $250K |


## Fund service providers (4)

- administrator: U.S. BANCORP FUND SERVICES, LLC — 5 funds
- administrator: DEUTSCHE BANK TRUST COMPANY AMERICAS — 3 funds
- administrator: METROPOLITAN LIFE INSURANCE COMPANY
- administrator: PRUDENTIAL INSURANCE COMPANY OF AMERICA

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/104628/brochure
- Similar advisers: https://search.stillhousedata.com/firm/104628/similar
- Related entities: https://search.stillhousedata.com/firm/104628/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/104628

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.