# SMITH GROUP ASSET MANAGEMENT, LLC

SMITH GROUP ASSET MANAGEMENT, LLC of DALLAS, TX is an SEC-registered investment adviser.

## Registration

- CRD: 313265
- Type: SEC-registered investment adviser
- SEC file number: 801-120777
- Location: 100 CRESCENT COURT, DALLAS, TX, 75201
- Phone: 214-880-4600
- Latest filing: 2026-07-10
- Regulatory AUM: $1.4B
- Discretionary AUM: $1.4B
- Clients: 14
- Accounts: 2,320

## Business model

- Compensation: % of AUM
- Clients served: High net worth, Pooled vehicles, Investment cos

## Officers, owners & control persons (26)

_Showing 25 of 26 people._

| Name | Role | Location |
| --- | --- | --- |
| Stephen Spencer Smith | CEO, CHAIRMAN OF INVESTMENT COMMITTEE; LIMITED PARTNER | Dallas, TX |
| John David Brim | PRESIDENT AND CHIEF INVESTMENT OFFICER | Dallas, TX |
| Walter Desmond Karle | CHIEF COMPLIANCE OFFICER | — |
| William Joseph Ferri | GLOBAL HEAD OF ASSET MANAGEMENT | — |
| Adam Marc Brajer | GENERAL COUNSEL AND SECRETARY | — |
| Brandon Gerald Lutnick | CHIEF EXECUTIVE OFFICER; CONTROLLING TRUSTEE | — |
| Ryan G Lutnick | TRUSTEE | — |
| Kyle S Lutnick | TRUSTEE | — |
| Casey J Lutnick | TRUSTEE | — |
| Kenneth Michael Paulson | CHIEF FINANCIAL OFFICER | — |
| Howard William Lutnick | SOLE TRUSTEE | — |
| John Joseph Jones | SENIOR MANAGING DIRECTOR & SECRETARY | — |
| Michael Gerard Millard | SENIOR VICE PRESIDENT | — |
| Mark Elliot Kaplan | CHIEF OPERATING OFFICER | — |
| SMITH STEPHEN SPENCER | CEO, CHAIRMAN OF INVESTMENT COMMITTEE; LIMITED PARTNER | — |
| BRIM JOHN DAVID | CHIEF INVESTMENT OFFICER; PRESIDENT AND CHIEF INVESTMENT OFFICER | — |
| MILLARD MICHAEL GERARD | GLOBAL HEAD OF ASSET MANAGEMENT; SENIOR VICE PRESIDENT | — |
| KAPLAN MARK ELLIOT | CHIEF OPERATING OFFICER | — |
| FERRI WILLIAM JOSEPH | GLOBAL HEAD OF ASSET MANAGEMENT | — |
| LUTNICK HOWARD WILLIAM | SOLE TRUSTEE | — |
| ANZALONE THOMAS JOSEPH | CHIEF OPERATIONS OFFICER | — |
| JONES JOSEPH | SENIOR MANAGING DIRECTOR & SECRETARY | — |
| NEUMANN LUCINDA | CHIEF COMPLIANCE OFFICER | — |
| KARLE WALTER DESMOND | CHIEF COMPLIANCE OFFICER | — |
| MERKEL STEPHEN MARCUS | GENERAL COUNSEL AND SECRETARY | — |


## Disclosures (11)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-12-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE THAT CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST CANTOR FITZGERALD, L.P. ("CFLP"). IN ANTICIPATION OF THE INSTITUTION OF THESE PROCEEDINGS, CFLP HAS SUBMITTED AN OFFER OF SETTLEMENT WHICH THE COMMISSIO… | Final | $6.8M |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/313265/brochure
- Similar advisers: https://search.stillhousedata.com/firm/313265/similar
- Related entities: https://search.stillhousedata.com/firm/313265/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/313265

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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.