SA
Smith Asset Management Co., LLC 13F Disclosure (Q3 2026) — Portfolio & Holdings
Smith Asset Management Co., LLCCIK: 0002068217
Diversified strategyMomentum followerSector-focused
Total reported value
$122.7M
Reporting period: 2026-09-30 · Number of holdings: 73
Smith Asset Management Co., LLC disclosed 73 holdings in its latest 13F filing for the period ending 2026-09-30, with total reported value of $122.7M and a quarterly turnover rate of 12.2%.
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Personality snowflake
- Concentration
- 10.91
- Portfolio Stability
- 12.18
- Momentum
- 100
- Sector conviction
- 90.02
- Diversification
- 100
- Sizing Uniformity
- 89.98
Smith Asset Management Co., LLC's disclosed holdings carry a Herfindahl concentration index of 0.027 — mathematically equivalent to about 37 equally-sized positions, well below its 73 actual disclosed holdings. That gap points to a strategy built around a small core of high-conviction bets rather than broad diversification.
Position sizes are fairly uniform across the portfolio (a coefficient of variation of 1.00), suggesting a disciplined, rules-based approach to how much capital goes into each idea.
No strong tilt toward either adding to existing winners or initiating outsized new positions was observed in the latest reported quarter.
Sector classification currently covers about 23% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govAdd MSFT
+8.0% $917.4K
Add QQQ
+40.1% $825.1K
Trim JPC
-1.9% -$1.1M
Add DIA
+127.3% $681.0K
Add VGT
+0.9% $330.0K
Add AAPL
-5.0% $358.2K
Holdings Map
New buyAddUnchangedTrim
Top 10 holdings by weight
Full holdings list this quarter
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | BRK-B | Berkshire Hathaway Inc-cl B | Stock-Other | 6.29% | +0.02% | -2.63% | |
| 2 | ARCC | Ares Capital CORP | Stock-Financials | 5.48% | +0.38% | +0.76% | |
| 3 | JPC | Nuveen Prefered & Income Opp | Stock-Other | 4.86% | -0.66% | -1.85% | |
| 4 | VGT | Vanguard Info Tech ETF | ETF-Tech | 4.72% | +0.42% | +0.85% | |
| 5 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 3.83% | +0.30% | +2.56% | |
| 6 | CSQ | Calamos Strat Ttl Rtrn Fnd | Stock-Other | 3.56% | -0.11% | -5.47% | |
| 7 | AAPL | Apple Inc | Stock-Tech | 3.43% | +0.40% | -5.02% | |
| 8 | DNP | Dnp Select Income Fund Inc | Stock-Financials | 3.04% | -0.32% | -1.70% | |
| 9 | XAWFX | Alliancebernstein Gl Hi Inc | Stock-Other | 2.97% | -0.16% | -3.14% | |
| 10 | VIS | Vanguard Industrials ETF | ETF-Other | 2.85% | +0.03% | +9.70% | |
| 11 | RFI | Cohen & Steers Tot Ret Rlty | Stock-Other | 2.81% | -0.16% | -1.42% | |
| 12 | FFA | First Trust Enhan Eqty Inc | Stock-Other | 2.66% | +0.03% | -1.93% | |
| 13 | MCI | Barings Corporate Investors | Stock-Other | 2.41% | +0.07% | -1.19% | |
| 14 | QQQ | Invesco Qqq Trust Series 1 | ETF-Tech | 2.32% | +0.73% | +40.12% | |
| 15 | MSFT | Microsoft CORP | Stock-Tech | 2.29% | +0.80% | +8.03% | |
| 16 | PCN | Pimco Corporate & Income Str | Stock-Other | 2.07% | -0.21% | -1.91% | |
| 17 | XBGYX | Blackrock Enh Intl Dvd Tr | Stock-Other | 2.07% | -0.09% | -5.91% | |
| 18 | BTZ | Blackrock Credit Allocation | Stock-Other | 2.05% | -0.15% | -1.36% | |
| 19 | UTG | Reaves Utility Income Fund | Stock-Other | 2.04% | -0.33% | -1.54% | |
| 20 | NLY | Annaly Capital Management In | Stock-Real Estate | 1.93% | -0.28% | -0.28% | |
| 21 | HQH | Abrdn Healthcare Investors | Stock-Other | 1.89% | -0.06% | -1.30% | |
| 22 | PSF | Cohen & Steers Select Prefer | Stock-Other | 1.88% | -0.17% | -2.05% | |
| 23 | UTF | Cohen & Steers Infrastructur | Stock-Other | 1.83% | -0.21% | -3.15% | |
| 24 | PDI | Pimco Dynamic Income Fund | Stock-Financials | 1.82% | -0.29% | -1.11% | |
| 25 | AMZN | Amazon.com Inc | Stock-Consumer Disc | 1.59% | +0.26% | +10.57% | |
| 26 | FLC | Flaherty & Crumrine Ttl Rtrn | Stock-Other | 1.56% | -0.09% | -2.25% | |
| 27 | PTY | Pimco Corporate & Income Opp | Stock-Other | 1.48% | -0.11% | -1.24% | |
| 28 | DSU | Blackrock Debt Strategies | Stock-Other | 1.44% | -0.04% | +1.22% | |
| 29 | DFP | Flaherty & Crumrine Dyn Pref | Stock-Other | 1.43% | -0.09% | -0.51% | |
| 30 | VTV | Vanguard Value ETF | ETF-Other | 1.10% | +0.23% | +22.84% | |
| 31 | BUI | Blckrck Util Infra & Pwr Opp | Stock-Other | 1.07% | -0.13% | +0.08% | |
| 32 | DIA | Ss Spdr Dow Jones Indus Avg | ETF-Large Cap & Growth | 1.01% | +0.57% | +127.26% | |
| 33 | GOF | Guggenheim Strategic Opport | Stock-Other | 0.98% | -0.22% | +0.73% | |
| 34 | SPYM | Ste Str Spdr Pt S&p 500 ETF | ETF-Large Cap & Growth | 0.97% | +0.07% | +1.72% | |
| 35 | XSORX | Source Capital Inc | Stock-Other | 0.94% | -0.07% | -9.29% | |
| 36 | GRID | First Trst Nasd Cl Edg Sgiif | ETF-Other | 0.94% | +0.24% | +39.45% | |
| 37 | XFFCX | Flaherty & Crumrine Pref Inc | Stock-Other | 0.92% | -0.04% | +1.17% | |
| 38 | ASGI | Abrdn Global Infrastructure | Stock-Other | 0.86% | -0.17% | -3.84% | |
| 39 | MPV | Barings Participation Invest | Stock-Other | 0.85% | -0.05% | -0.53% | |
| 40 | GDO | Western Ast Glb CORP Opprnty | Stock-Other | 0.83% | -0.11% | -4.28% | |
| 41 | NVG | Nuveen Amt-fr Muni Crdt | Stock-Other | 0.74% | -0.13% | -1.06% | |
| 42 | XRNPX | Cohen & Steers Reit And Pref | Stock-Other | 0.69% | -0.03% | -0.24% | |
| 43 | PFD | Flaherty & Crumrin Pre&inc F | Stock-Other | 0.63% | -0.03% | -1.65% | |
| 44 | OHI | Omega Healthcare Investors | Stock-Real Estate | 0.57% | -0.02% | -4.28% | |
| 45 | STK | Columbia Slgmn Prem Tech Gr | Stock-Other | 0.57% | -0.10% | -17.84% | |
| 46 | XBMEX | Blackrock Health Sciences | Stock-Other | 0.55% | — | -5.51% | |
| 47 | SPH | Suburban Propane Partners LP | Stock-Other | 0.55% | -0.01% | -1.28% | |
| 48 | BLW | Blackrock LTD Durat Inc Tr | Stock-Other | 0.49% | -0.03% | -1.26% | |
| 49 | GOOGL | Alphabet Inc-cl A | Stock-Comm Services | 0.47% | -0.01% | -1.30% | |
| 50 | OUT | Outfront Media Inc | Stock-Other | 0.44% | -0.06% | — |
1–50 of 73
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Portfolio Performance
Performance for Q4 2026
-2.9%
Performance Last 4 Quarters
+1.4%
- Stdev
- +9.3%
- Beta
- +0.6
- Alpha
- -5.1%
- Max Drawdown
- -5.7%
- Annualized Perf
- +4.9%
- Batting Avg vs S&P
- +30%
- Sortino
- +0.88
- Stutzer
- +0.17
- Treynor
- +0.09
- Sterling
- +0.31
- Calmar
- +0.87
- Information Ratio
- -1.64
- Tracking Error
- +7.3%
- Stdev Down
- +5.9%
- Winning Months %
- +60%
- Losing Months %
- +40%
- Best 12 Months
- +14.6%
- Worst 12 Months
- +1.3%
- Efficiency Ratio
- +0.22
- Sharpe
- +0.56
- Stdev Sectors
- +14.8%
- Skewness
- -0.14
- Kurtosis
- +1.05
- Upside Potential
- +2.37
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
Holding changes this quarter
Smith Asset Management Co., LLC's most significant position changes for 2026-09-30: New buy: Vanguard Growth ETF (VUG); New buy: Alphabet Inc-cl C (GOOG); New buy: First Trust Rising Dividend (RDVY); New buy: Vanguard S&p 500 ETF (VOO); Sold out: Eaton Vance T/a Gl Dvd Incm (ETG).
1–50 of 75
Filing History
FAQ
What is Smith Asset Management Co., LLC and what type of investor is it?
Smith Asset Management Co., LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2026-09-30), the firm manages a tracked equity portfolio valued at approximately $122.7M, spread across 73 disclosed positions.
What are Smith Asset Management Co., LLC's largest equity positions?
Based on the latest 13F filing, Smith Asset Management Co., LLC's top holdings by market value are:
1. Berkshire Hathaway Inc-cl B (BRK-B) — $7.7M (6.3%)
2. Ares Capital CORP (ARCC) — $6.7M (5.5%)
3. Nuveen Prefered & Income Opp (JPC) — $6.0M (4.9%)
4. Vanguard Info Tech ETF (VGT) — $5.8M (4.7%)
5. Ss Spdr S&p 500 ETF Trust-us (SPY) — $4.7M (3.8%)
What changes did Smith Asset Management Co., LLC make in its most recent portfolio filing?
In the latest reported quarter, Smith Asset Management Co., LLC made 71 notable position adjustments: 5 new positions were initiated, 17 existing holdings were added to, 47 positions were partially reduced, and 2 were completely exited. The largest of these moves: New buy: Vanguard Growth ETF (VUG); New buy: Alphabet Inc-cl C (GOOG); New buy: First Trust Rising Dividend (RDVY); New buy: Vanguard S&p 500 ETF (VOO); Sold out: Eaton Vance T/a Gl Dvd Incm (ETG)
What sectors does Smith Asset Management Co., LLC focus on?
Smith Asset Management Co., LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Financials: 45.7%
• Information Technology: 25.2%
• Real Estate: 14.6%
• Consumer Discretionary: 7.0%
• Communication Services: 2.9%
• Consumer Staples: 2.5%
Investment Profile
Smith Asset Management Co., LLC returned an annualized 4.9% over the trailing 20 months — underperforming the S&P 500 by 5.1 points — based on a reconstructed track record of its disclosed 13F positions, with a beta of 0.60 (less volatile than the market) and a 30% quarterly batting average against the index.
Its portfolio is broadly diversified and long-term-holding, with 45.7% of the portfolio concentrated in Financials.
It has added to its VGT position over the past two quarters (+$2.4M, now $5.8M), while trimming PDI over the same stretch (-$549.0K, still holding $2.2M).
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