Smith Group Asset Management, LLC

Registered investment adviser · Dallas, TX · CRD #313265

Form ADV data as of 2026-09-01

Regulatory assets

$1.41 billion

Total accounts

2,320

Employees

Disclosure events

Firm details

Website: https://www.cantorassetmanagement.com/
Telephone: 214-880-4600
SEC file number: 801-120777
Most recent Form ADV filing: 2026-07-10
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 4 disclosure questions answered Yes, covering 4 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a false statement or omission
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.41 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.41 billion
Discretionary accounts	2,320
Non-discretionary accounts	0
Total accounts	2,320
Regulatory assets under management attributable to non-U.S. persons	$7.2 million

People

Total employees (excluding clerical)	14
Employees performing investment advisory functions (including research)	12
Employees who are registered representatives of a broker-dealer	2
Employees registered as investment adviser representatives with a state	6
Employees registered as IARs for another investment adviser	6
Employees who are licensed insurance agents	0
Firms or persons who solicit advisory clients on the firm's behalf	0

Custody

Has custody of client cash or bank accounts	No
Has custody of client securities	No
Clients for whom the firm has custody	0
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	0

How the firm is compensated

A percentage of assets under management

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Receives soft dollar benefits
Compensates a non-employee for client referrals
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
High net worth individuals	2,299	$782.4 million
Investment companies	2	$39.4 million
Pension and profit sharing plans (not the participants or government plans)	5	$137.2 million
Charitable organizations	4	$181.8 million
State or municipal government entities (including government pension plans)	4	$230.2 million
Corporations or other businesses not listed above	6	$39.3 million