SMITH ASSET MANAGEMENT CO., LLC of CHIEFLAND, FL is an SEC-registered investment adviser (CRD 127684). Regulatory assets under management: $281.2M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Benjamin Shannon Smith | PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| Benjamin Larry Smith | OWNER/VICE-PRESIDENT | — |
| SMITH ERIC SHANNON | PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | — |
| SMITH BENJAMIN LARRY | OWNER/VICE-PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2012-08-16 | regulatory | FIRM FAILED TO FILE FINANCIAL STATEMENTS WITH THE OFFICE OF FINANCIAL REGULATION WITHIN 90 DAYS OF FISCAL YEARS ENDING 2009, 2010, AND 2011, PURSUANT TO SECTION 517.121 FLORIDA STATUTES AND RULE 69W-600.015 FLORIDA ADMINISTRATIVE CODE. | Final | $6K |