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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

SMITH GROUP ASSET MANAGEMENT, LLC

CRD 313265

DALLAS, TX

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:b33e2f7b-8ebe-a9b4-4cce-e79fd6b501ca

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 15
On other graphs: 0
Observed: Mar 12, 2021 to Jul 10, 2026
22 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: independent wealth managerderivedprivate_client_share=0.55 fund_share=0.03 institutional_share=0.39 related_bd=true related_bank=true bd_reps=2.0 bank_owner=false
Regulatory AUM: $1.4BItem 5.F on the latest filing (2026-07-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $782MderivedItem 5.D individuals plus high net worth individuals
Private client share: 55%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $235Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 14
Advisory employees: 12
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 2,320
Individual clients: 0
High net worth clients: 2,299
SEC number: 801-120777
CRD: 313265
Filings on the tape: 22
First filed: Mar 12, 2021
Latest filed: Jul 10, 2026
Organised: Limited Liability Company, DE
Website: cantorassetmanagement.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
SMITH GROUP EQUITY OPPORTUNITY FUND, LP	Other Private Fund	$14.1M	Jan 16, 2024	3	Mar 20, 2019	dropped	021-285357

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
BRAJER, ADAM, MARC	GENERAL COUNSEL AND SECRETARY	Na	yes	08/2025	Jul 10, 2026	Jul 10, 2026
CANTOR FITZGERALD INVESTMENT	MANAGING MEMBER	E	yes	02/2021	Jul 10, 2026	Jul 10, 2026
FERRI, WILLIAM, JOSEPH	GLOBAL HEAD OF ASSET MANAGEMENT	Na	yes	06/2022	Jul 10, 2026	Jul 10, 2026
KARLE, WALTER, DESMOND	CHIEF COMPLIANCE OFFICER	Na	yes	09/2023	Jul 10, 2026	Jul 10, 2026
PAULSON, KENNETH, MICHAEL	CHIEF FINANCIAL OFFICER INVESTMENT OFFICER	Na	yes	02/2021	Jul 10, 2026	Jul 10, 2026
Brim, John, David	PRESIDENT AND CHIEF INVESTMENT OFFICER	Na	yes	07/2021	Jul 7, 2021	Mar 27, 2024
CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC	Member	E	yes	02/2010	Mar 12, 2021	Mar 27, 2024
CANTOR FITZGERALD, L.P.	SOLE MEMBER	E	yes	06/2005	Mar 12, 2021	Mar 27, 2024
CF GROUP MANAGEMENT, INC.	MANAGING GENERAL PARTNER	F	yes	01/2010	Mar 12, 2021	Mar 27, 2024
DALLAS ADVISORS, LLC	GENERAL PARTNER	F	yes	01/2008	Jul 7, 2021	Mar 27, 2024
HOWARD W. LUTNICK PERSONAL ASSET TRUST	LIMITED PARTNER	C	yes	11/2011	Mar 12, 2021	Mar 27, 2024
HOWARD W. LUTNICK REVOCABLE TRUST	Shareholder	E	yes	11/2011	Mar 12, 2021	Mar 27, 2024
JONES, JOHN, JOSEPH	SENIOR MANAGING DIRECTOR & SECRETARY	Na	yes	02/2021	Sep 18, 2023	Mar 27, 2024
KAPLAN, MARK, ELLIOT	CHIEF OPERATING OFFICER	Na	yes	02/2021	Mar 29, 2023	Mar 27, 2024
LUTNICK, HOWARD, WILLIAM	SOLE TRUSTEE	E	yes	05/2009	Mar 12, 2021	Mar 27, 2024
LUTNICK, HOWARD, WILLIAM	SOLE TRUSTEE	E	yes	01/2010	Mar 12, 2021	Mar 27, 2024
MILLARD, MICHAEL, GERARD	SENIOR VICE PRESIDENT	Na	yes	02/2021	Mar 12, 2021	Mar 27, 2024
SMITH GROUP ASSET MANAGEMENT	Member	C	yes	07/2021	Jul 7, 2021	Mar 27, 2024
SMITH GROUP EMPLOYEE PARTNER 1, LLC	LIMITED PARTNER	C	yes	04/2008	Jul 7, 2021	Mar 27, 2024
SMITH GROUP EMPLOYEE PARTNER 2, LLC	LIMITED PARTNER	F	yes	04/2008	Jul 7, 2021	Mar 27, 2024
SMITH, STEPHEN, SPENCER	CEO, CHAIRMAN OF INVESTMENT COMMITTEE	Na	yes	07/2021	Jul 7, 2021	Mar 27, 2024
SMITH, STEPHEN, SPENCER	LIMITED PARTNER	C	yes	04/2008	Jul 7, 2021	Mar 27, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CANTOR FITZGERALD INVESTMENT ADVISORS, L.P.	n/a	Mixed wealth	$3.2B	Y	yes	n/a
SMITH ASSET MANAGEMENT GROUP LP	n/a	Former SEC adviser	$182M	N	no	n/a
CANTOR FITZGERALD & CO.	n/a	n/a	n/a	N	yes	n/a

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; showing 5 of 6

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Private funds	Fund GAV
2025	Mar 26, 2026	$2.2B	$2.2B	14	12	n/a	n/a
2024	Apr 28, 2025	$1.7B	$1.7B	15	8	n/a	n/a
2023	Mar 27, 2024	$2.0B	$2.0B	15	8	n/a	n/a
2022	Mar 29, 2023	$1.8B	$1.8B	15	8	1	$14.1M
2021	Mar 30, 2022	$2.3B	$2.1B	16	9	1	$18.2M

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2025	$1.4B	$1.7B	-17.7%	$1.8B	-7.6%	14	15	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
SMITH GROUP ASSET MANAGEMENT	3	Oct 5, 2021	Sep 21, 2021	DALLAS, TX	Firm absorbed	Other	60.0%

Relationships

Affiliated with (3)

→ SMITH GROUP ASSET MANAGEMENTRegistered adviserother investment adviser
factForm ADV
→ CANTOR FITZGERALD INVESTMENT ADVISORSRegistered adviserother investment adviser, control, common control
factForm ADV
← RESOLUTION RECOVERY PARTNERS MANAGER, LLCRegistered adviserother investment adviser, common control
factForm ADV

Registered with (6)

← WALTER DESMOND KARLEAdvisorregistration: current employment
Feb 2, 2026 to presentfactForm ADV
← OWEN BURNSAdvisorregistration: current employment
Jan 3, 2023 to presentfactForm ADV
← Eivind OlsenAdvisorregistration: current employment
Sep 21, 2021 to presentfactForm ADV
← John David BrimAdvisorregistration: current employment
Aug 4, 2021 to presentfactForm ADV
← William KettererAdvisorregistration: current employment
Aug 2, 2021 to presentfactForm ADV
← Christopher Martin ZoggAdvisorregistration: current employment
Jul 29, 2021 to presentfactForm ADV

Advises (1)

→ SMITH GROUP EQUITY OPPORTUNITY FUND, LPPrivate fundOther Private Fund, IA
Mar 20, 2019 to presentfactForm ADV

Controls (18)

← SMITH GROUP ASSET MANAGEMENTOwnerMEMBER, ownership code C, domestic entity
Jul 7, 2021 to Mar 27, 2024factForm ADV
← LUTNICK, HOWARD, WILLIAMOwnerSOLE TRUSTEE, ownership code E, individual
Mar 12, 2021 to Mar 27, 2024factForm ADV
← CANTOR FITZGERALD INVESTMENT ADVISORSOwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 12, 2021 to Mar 27, 2024factForm ADV
← KAPLAN, MARK, ELLIOTOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 29, 2023 to Mar 27, 2024factForm ADV
← SMITH, STEPHEN, SPENCEROwnerLIMITED PARTNER, ownership code C, individual
Jul 7, 2021 to Mar 27, 2024factForm ADV
← FERRI, WILLIAM, JOSEPHOwnerGLOBAL HEAD OF ASSET MANAGEMENT, ownership code NA, individual
Mar 29, 2023 to Mar 27, 2024factForm ADV
← PAULSON, KENNETH, MICHAELOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 12, 2021 to Mar 27, 2024factForm ADV
← Brim, John, DavidOwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jul 7, 2021 to Mar 27, 2024factForm ADV
← JONES, JOHN, JOSEPHOwnerSENIOR MANAGING DIRECTOR & SECRETARY, ownership code NA, individual
Sep 18, 2023 to Mar 27, 2024factForm ADV
← KARLE, WALTER, DESMONDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 12, 2021 to Mar 27, 2024factForm ADV
← MILLARD, MICHAEL, GERARDOwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 12, 2021 to Mar 27, 2024factForm ADV
← CANTOR FITZGERALD, L.P.OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 12, 2021 to Mar 27, 2024factForm ADV
← CF GROUP MANAGEMENT, INC.OwnerMANAGING GENERAL PARTNER, ownership code F, domestic entity
Mar 12, 2021 to Mar 27, 2024factForm ADV
← DALLAS ADVISORS, LLCOwnerGENERAL PARTNER, ownership code F, domestic entity
Jul 7, 2021 to Mar 27, 2024factForm ADV
← HOWARD W. LUTNICK PERSONAL ASSET TRUSTOwnerLIMITED PARTNER, ownership code C, domestic entity
Mar 12, 2021 to Mar 27, 2024factForm ADV
← HOWARD W. LUTNICK REVOCABLE TRUSTOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 12, 2021 to Mar 27, 2024factForm ADV
← SMITH GROUP EMPLOYEE PARTNER 1, LLCOwnerLIMITED PARTNER, ownership code C, domestic entity
Jul 7, 2021 to Mar 27, 2024factForm ADV
← SMITH GROUP EMPLOYEE PARTNER 2, LLCOwnerLIMITED PARTNER, ownership code F, domestic entity
Jul 7, 2021 to Mar 27, 2024factForm ADV

Moved with (1)

← SMITH GROUP ASSET MANAGEMENTRegistered adviser3 advisors, firm absorbed, same day
Oct 5, 2021 to Sep 21, 2021factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jul 10, 2026
Regulatory AUM changed
Smith Group Asset Management, Llc reported RAUM $1.4B, down 36% from $2.2B (2026-03-26 to 2026-07-10)
Form ADVobserved 3 days ago
$-804M
Occurred
Mar 26, 2026
Regulatory AUM changed
Smith Group Asset Management, Llc reported RAUM $2.2B, up 29% from $1.7B (2025-10-21 to 2026-03-26)
Form ADVobserved 3 days ago
$500M
Occurred
Sep 18, 2023
Control person left
Marcus Stephen Merkel (General Counsel And Secretary) no longer on Schedule A of Smith Group Asset Management, Llc (listed 2023-03-29, absent 2023-09-18)
Form ADVobserved 3 days ago
Occurred
Sep 18, 2023
Control person left
Lucinda Neumann (Chief Compliance Officer) no longer on Schedule A of Smith Group Asset Management, Llc (listed 2023-03-29, absent 2023-09-18)
Form ADVobserved 3 days ago
Occurred
Sep 18, 2023
Control person joined
Desmond Walter Karle (Chief Compliance Officer) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Sep 18, 2023
Control person joined
Joseph John Jones (Senior Managing Director & Secretary) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Control person joined
Elliot Mark Kaplan (Chief Operating Officer) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Control person joined
Joseph William Ferri (Global Head Of Asset Management) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Mar 29, 2023
Control person left
Joseph Thomas Anzalone (Chief Operations Officer) no longer on Schedule A of Smith Group Asset Management, Llc (listed 2022-11-14, absent 2023-03-29)
Form ADVobserved 3 days ago
Occurred
Jul 7, 2021
Control person left
Desmond Walter Karle (Chief Compliance Officer) no longer on Schedule A of Smith Group Asset Management, Llc (listed 2021-05-05, absent 2021-07-07)
Form ADVobserved 3 days ago
Occurred
Jul 7, 2021
Control person joined
Lucinda Neumann (Chief Compliance Officer) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Jul 7, 2021
Control person joined
Spencer Stephen Smith (Ceo, Chairman Of Investment Committee) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Jul 7, 2021
Control person joined
David John Brim (Chief Investment Officer) appeared on Schedule A of Smith Group Asset Management, Llc
Form ADVobserved 3 days ago
Occurred
Mar 12, 2021
First Form ADV filing
Smith Asset Group Management, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Jul 7, 2021
Smith Group Asset Management, Llc reported 10 state-registered advisory representatives, up from 0 (2021-05-05 to 2021-07-07)

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b33e2f7b-8ebe-a9b4-4cce-e79fd6b501ca
First observed: Mar 12, 2021
Last observed: Jul 10, 2026 2 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 GROUP ASSET MANAGEMENT, LLC

CRD 313265

DALLAS, TX

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:b33e2f7b-8ebe-a9b4-4cce-e79fd6b501ca

Data as of Jul 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 10:17 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

SMITH GROUP EQUITY OPPORTUNITY FUND, LP

Other Private Fund

$14.1M

Jan 16, 2024

Mar 20, 2019

dropped

021-285357

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRAJER, ADAM, MARC

GENERAL COUNSEL AND SECRETARY

yes

08/2025

Jul 10, 2026

CANTOR FITZGERALD INVESTMENT

MANAGING MEMBER

yes

02/2021

Jul 10, 2026

FERRI, WILLIAM, JOSEPH

GLOBAL HEAD OF ASSET MANAGEMENT

yes

06/2022

Jul 10, 2026

KARLE, WALTER, DESMOND

CHIEF COMPLIANCE OFFICER

yes

09/2023

Jul 10, 2026

PAULSON, KENNETH, MICHAEL

CHIEF FINANCIAL OFFICER INVESTMENT OFFICER

yes

02/2021

Jul 10, 2026

Brim, John, David

PRESIDENT AND CHIEF INVESTMENT OFFICER

yes

07/2021

Jul 7, 2021

Mar 27, 2024

CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC

Member

yes

02/2010

Mar 12, 2021

Mar 27, 2024

CANTOR FITZGERALD, L.P.

SOLE MEMBER

yes

06/2005

Mar 12, 2021

Mar 27, 2024

CF GROUP MANAGEMENT, INC.

MANAGING GENERAL PARTNER

yes

01/2010

Mar 12, 2021

Mar 27, 2024

DALLAS ADVISORS, LLC

GENERAL PARTNER

yes

01/2008

Jul 7, 2021

Mar 27, 2024

HOWARD W. LUTNICK PERSONAL ASSET TRUST

LIMITED PARTNER

yes

11/2011

Mar 12, 2021

Mar 27, 2024

HOWARD W. LUTNICK REVOCABLE TRUST

Shareholder

yes

11/2011

Mar 12, 2021

Mar 27, 2024

JONES, JOHN, JOSEPH

SENIOR MANAGING DIRECTOR & SECRETARY

yes

02/2021

Sep 18, 2023

Mar 27, 2024

KAPLAN, MARK, ELLIOT

CHIEF OPERATING OFFICER

yes

02/2021

Mar 29, 2023

Mar 27, 2024

LUTNICK, HOWARD, WILLIAM

SOLE TRUSTEE

yes

05/2009

Mar 12, 2021

Mar 27, 2024

LUTNICK, HOWARD, WILLIAM

SOLE TRUSTEE

yes

01/2010

Mar 12, 2021

Mar 27, 2024

MILLARD, MICHAEL, GERARD

SENIOR VICE PRESIDENT

yes

02/2021

Mar 12, 2021

Mar 27, 2024

SMITH GROUP ASSET MANAGEMENT

Member

yes

07/2021

Jul 7, 2021

Mar 27, 2024

SMITH GROUP EMPLOYEE PARTNER 1, LLC

LIMITED PARTNER

yes

04/2008

Jul 7, 2021

Mar 27, 2024

SMITH GROUP EMPLOYEE PARTNER 2, LLC

LIMITED PARTNER

yes

04/2008

Jul 7, 2021

Mar 27, 2024

SMITH, STEPHEN, SPENCER

CEO, CHAIRMAN OF INVESTMENT COMMITTEE

yes

07/2021

Jul 7, 2021

Mar 27, 2024

SMITH, STEPHEN, SPENCER

LIMITED PARTNER

yes

04/2008

Jul 7, 2021

Mar 27, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CANTOR FITZGERALD INVESTMENT ADVISORS, L.P.

n/a

Mixed wealth

$3.2B

yes

n/a

SMITH ASSET MANAGEMENT GROUP LP

n/a

Former SEC adviser

$182M

n/a

CANTOR FITZGERALD & CO.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 26, 2026

$2.2B

n/a

2024

Apr 28, 2025

$1.7B

n/a

2023

Mar 27, 2024

$2.0B

n/a

2022

Mar 29, 2023

$1.8B

$14.1M

2021

Mar 30, 2022

$2.3B

$2.1B

$18.2M

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$1.4B

$1.7B

-17.7%

$1.8B

-7.6%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

SMITH GROUP ASSET MANAGEMENT

Oct 5, 2021

Sep 21, 2021

DALLAS, TX

Firm absorbed

Other

60.0%