DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

SMITH BREEDEN ASSOCIATES INC

CRD 104628

DURHAM, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:02e90544-1a21-c8ac-291a-f37eabe4dee1

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Mar 27, 2013
3 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.8BItem 5.F on the latest filing (2013-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $7.8B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 55
Advisory employees: 20
Accounts: 39
Private funds: 10Schedule D 7.B(1)
Private fund GAV: $463Mgross asset value as reported per fund; never fund size
Custody, client assets: $13.2M
SEC number: 801-17567
CRD: 104628
Filings on the tape: 3
First filed: Apr 2, 2012
Latest filed: Mar 27, 2013
Organised: Corporation, Kansas

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ADLER, DANIEL, ROTHSCHILD	DIRECTOR/ EXECUTIVE VICE PRESIDENT/DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP	Na	yes	01/2009	Apr 2, 2012	Mar 27, 2013
ARGANBRIGHT, AMY, CAROL	PRINCIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY	Na	yes	01/2006	Apr 2, 2012	Mar 27, 2013
EASON, STEPHEN, ALCUIN	DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE	B	yes	04/1988	Apr 2, 2012	Mar 27, 2013
GIARLA, MICHAEL, JOSEPH	Trustee	E	yes	01/2003	Apr 2, 2012	Mar 27, 2013
GIARLA, MICHAEL, JOSEPH	DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER	B	yes	07/1986	Apr 2, 2012	Mar 27, 2013
HARMELINK, AIMEE, KATHRYN	PRINCIPAL/CHIEF COMPLIANCE OFFICER/SECRETARY	Na	yes	04/2012	Apr 27, 2012	Mar 27, 2013
MILLER, JENNIFER, P	PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY	Na	yes	12/2010	Apr 2, 2012	Mar 27, 2013
SPROW, JOHN, BARKER	DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER	A	yes	01/2009	Apr 2, 2012	Mar 27, 2013
BELL, CARL, D.	DIRECTOR/PRINCIPAL	Na	no	10/2011	Apr 2, 2012	Mar 27, 2013
BREEDEN, DOUGLAS, TOWER	CHAIRMAN EMERITUS	A	no	06/2005	Apr 2, 2012	Mar 27, 2013
DEKTAR, DANIEL, C.	PRINCIPAL/CHIEF INVESTMENT OFFICER	A	no	08/1987	Apr 2, 2012	Mar 27, 2013
FLOOD, EUGENE	Shareholder	A	no	04/2005	Apr 2, 2012	Mar 27, 2013
JESTER, LEWIS, TURLINGTON	Director	Na	no	12/1997	Apr 2, 2012	Mar 27, 2013
MICHAEL J GIARLA REVOCABLE TRUST	Shareholder	B	no	01/2003	Apr 2, 2012	Mar 27, 2013
ROWE, TIMOTHY, DURRETT	DIRECTOR/PRINCIPAL	B	no	02/2008	Apr 2, 2012	Mar 27, 2013

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Boulder	Co	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Mar 27, 2013	$7.8B	$7.8B	55	20	n/a	10	$463M
2011	Apr 2, 2012	$7.3B	$7.3B	n/a	n/a	n/a	9	$662M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$7.8B	$7.3B	6.8%	n/a	n/a	55	n/a	n/a	n/a

Relationships

Controls (7)

← EASON, STEPHEN, ALCUINOwnerDIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE, ownership code B, individual
Apr 2, 2012 to presentfactForm ADV
← GIARLA, MICHAEL, JOSEPHOwnerTRUSTEE, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV
← SPROW, JOHN, BARKEROwnerDIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← ADLER, DANIEL, ROTHSCHILDOwnerDIRECTOR/ EXECUTIVE VICE PRESIDENT/DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← ARGANBRIGHT, AMY, CAROLOwnerPRINCIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← MILLER, JENNIFER, POwnerPRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← HARMELINK, AIMEE, KATHRYNOwnerPRINCIPAL/CHIEF COMPLIANCE OFFICER/SECRETARY, ownership code NA, individual
Apr 27, 2012 to presentfactForm ADV

Owns (7)

← DEKTAR, DANIEL, C.OwnerPRINCIPAL/CHIEF INVESTMENT OFFICER, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← BREEDEN, DOUGLAS, TOWEROwnerCHAIRMAN EMERITUS, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← FLOOD, EUGENEOwnerSHAREHOLDER, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← ROWE, TIMOTHY, DURRETTOwnerDIRECTOR/PRINCIPAL, ownership code B, individual
Apr 2, 2012 to presentfactForm ADV
← JESTER, LEWIS, TURLINGTONOwnerDIRECTOR, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← BELL, CARL, D.OwnerDIRECTOR/PRINCIPAL, ownership code NA, individual
Apr 2, 2012 to presentfactForm ADV
← MICHAEL J GIARLA REVOCABLE TRUSTOwnerSHAREHOLDER, ownership code B, domestic entity
Apr 2, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:02e90544-1a21-c8ac-291a-f37eabe4dee1
First observed: Apr 2, 2012
Last observed: Mar 27, 2013 164 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SMITH BREEDEN ASSOCIATES INC

CRD 104628

DURHAM, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:02e90544-1a21-c8ac-291a-f37eabe4dee1

Data as of Mar 27, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:03 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ADLER, DANIEL, ROTHSCHILD

DIRECTOR/ EXECUTIVE VICE PRESIDENT/DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP

yes

01/2009

Apr 2, 2012

Mar 27, 2013

ARGANBRIGHT, AMY, CAROL

PRINCIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY

yes

01/2006

Apr 2, 2012

Mar 27, 2013

EASON, STEPHEN, ALCUIN

DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE

yes

04/1988

Apr 2, 2012

Mar 27, 2013

GIARLA, MICHAEL, JOSEPH

Trustee

yes

01/2003

Apr 2, 2012

Mar 27, 2013

GIARLA, MICHAEL, JOSEPH

DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER

yes

07/1986

Apr 2, 2012

Mar 27, 2013

HARMELINK, AIMEE, KATHRYN

PRINCIPAL/CHIEF COMPLIANCE OFFICER/SECRETARY

yes

04/2012

Apr 27, 2012

Mar 27, 2013

MILLER, JENNIFER, P

PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY

yes

12/2010

Apr 2, 2012

Mar 27, 2013

SPROW, JOHN, BARKER

DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER

yes

01/2009

Apr 2, 2012

Mar 27, 2013

BELL, CARL, D.

DIRECTOR/PRINCIPAL

10/2011

Apr 2, 2012

Mar 27, 2013

BREEDEN, DOUGLAS, TOWER

CHAIRMAN EMERITUS

06/2005

Apr 2, 2012

Mar 27, 2013

DEKTAR, DANIEL, C.

PRINCIPAL/CHIEF INVESTMENT OFFICER

08/1987

Apr 2, 2012

Mar 27, 2013

FLOOD, EUGENE

Shareholder

04/2005

Apr 2, 2012

Mar 27, 2013

JESTER, LEWIS, TURLINGTON

Director

12/1997

Apr 2, 2012

Mar 27, 2013

MICHAEL J GIARLA REVOCABLE TRUST

Shareholder

01/2003

Apr 2, 2012

Mar 27, 2013

ROWE, TIMOTHY, DURRETT

DIRECTOR/PRINCIPAL

02/2008

Apr 2, 2012

Mar 27, 2013

City

State

Country

Employees

Also broker-dealer

Boulder

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 27, 2013

$7.8B

n/a

$463M

2011

Apr 2, 2012

$7.3B

n/a

$662M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$7.8B

$7.3B

6.8%

n/a