Smith Asset Management Co., LLC
Sector Allocation
- Other79.4%$97.5M
- Financials7.0%$8.6M
- Technology6.4%$7.8M
- Real Estate4.0%$4.9M
- Consumer Discretionary2.1%$2.6M
- Consumer Staples0.6%$707,774
- Utilities0.2%$283,771
- Healthcare0.2%$278,618
AUM History
13fpro.ai/research/fund/smith-asset-management-co-llc-2068217
Conviction and streaks
Stable · top 10 = 41.0%From the fund's last 12 quarters of 13F filings: positions held longest at size, and names it added to or trimmed several quarters running.
Largest positions — Q3 2026
BRK.B
$7.7MARCC
$6.7MJPC
$6.0M- VANGUARD$5.8M
SPY
$4.7MCSQ
$4.4MAAPL
$4.2MDNP
$3.7M- ALLIANCEBERNSTEIN$3.6M
- VANGUARD$3.5M
RFI
$3.5MFFA
$3.3MMCI
$3.0MQQQ
$2.8MMSFT
$2.8MPCN
$2.5M- BLACKROCK$2.5M
BTZ
$2.5MUTG
$2.5MNLY
$2.4M
Top 20 stock positions. Options are left out: 13F reports them at the underlying's value.
13fpro.ai/research/fund/smith-asset-management-co-llc-2068217
Smith Asset Management Co., LLC 13F holdings — Q3 2026
$122.7M portfolio (-3.5% QoQ) · 73 holdings · Q3 2026 13F · top 10 are 41% of the stock portfolio
$7.7M
6.3% of stocks
-3%This quarter—Since filed5+ qtrsHeld$6.7M
5.5% of stocks
+0.8%This quarter-0.6%Since filed5+ qtrsHeld$6.0M
4.9% of stocks
-2%This quarter-0.9%Since filed5+ qtrsHeld- 4
VANGUARD WORLD FD - INF TECH ETF
$5.8M
4.7% of stocks
+0.9%This quarter—Since filed—HeldAIQuality—Est. buy— $4.7M
3.8% of stocks
+3%This quarter+0.3%Since filed5+ qtrsHeld$4.4M
3.6% of stocks
-5%This quarter+0.3%Since filed5+ qtrsHeld$4.2M
3.4% of stocks
-5%This quarter+0.1%Since filed5+ qtrsHeld$3.7M
3.0% of stocks
-2%This quarter-0.5%Since filed5+ qtrsHeldAIQualityAI quality score is Pro: unlock with a free trialEst. buyEstimated buy price is Pro: unlock with a free trialTrimmed 4 qtrs in a row- 9
ALLIANCEBERNSTEIN GLOBAL HIG - COM
$3.6M
3.0% of stocks
-3%This quarter—Since filed—HeldAIQuality—Est. buy— - 10
VANGUARD WORLD FD - INDUSTRIAL ETF
$3.5M
2.9% of stocks
+10%This quarter—Since filed—HeldAIQuality—Est. buy—
All holdings — Smith Asset Management Co., LLC (Q3 2026)
73 disclosed positions from the Form 13F-HR on SEC EDGAR, with quarter-over-quarter share changes. Largest by value first; the ten above are not repeated.
| # | Company | Held | Source | |||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 11 | COHEN & STEERS TOTAL RETURN REALTY FUND INC | Other | $3.5M | 2.8% | 329K | -1% | 5+ qtrsTrimmed 2 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 12 | FIRST TRUST ENHANCED EQUITY INCOME FUND | — | $3.3M | 2.7% | 147K | -2% | 5+ qtrsTrimmed 2 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 13 | BARINGS CORPORATE INVESTORS | Other | $3.0M | 2.4% | 168K | -1% | 5+ qtrsTrimmed 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 14 | INVESCO QQQ TRUST, SERIES 1etf/fund | — | $2.8M | 2.3% | 3,849 | +40% | 5+ qtrsAdded 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 15 | MICROSOFT CORP | Technology | $2.8M | 2.3% | 5,473 | +8% | 4 qtrsAdded 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 16 | PIMCO CORPORATE & INCOME STRATEGY FUND | Other | $2.5M | 2.1% | 238K | -2% | 5+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 17 | — | BLACKROCK ENHANCED INTL DIV - COM BENE INTER | — | $2.5M | 2.1% | 450K | -6% | — | — | 13F |
| 18 | BLACKROCK CREDIT ALLOCATION INCOME TRUST | — | $2.5M | 2.0% | 270K | -1% | 5+ qtrsTrimmed 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 19 | REAVES UTILITY INCOME FUND | Other | $2.5M | 2.0% | 73K | -2% | 5+ qtrsTrimmed 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 20 | ANNALY CAPITAL MANAGEMENT INC | Real Estate | $2.4M | 1.9% | 125K | -0.3% | 5+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 21 | abrdn Healthcare Investors | Other | $2.3M | 1.9% | 111K | -1% | 5+ qtrsTrimmed 3 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 22 | Cohen & Steers Select Preferred & Income Fund, Inc.preferred | Other | $2.3M | 1.9% | 127K | -2% | 5+ qtrs | AI quality score is Pro: unlock with a free trial | 13F | |
| 23 | COHEN & STEERS INFRASTRUCTURE FUND INC | Other | $2.2M | 1.8% | 91K | -3% | 5+ qtrsTrimmed 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 24 | PIMCO Dynamic Income Fund | Other | $2.2M | 1.8% | 159K | -1% | 5+ qtrsTrimmed 2 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 25 | AMAZON COM INC | Consumer Discretionary | $2.0M | 1.6% | 7,847 | +11% | 5+ qtrsAdded 4 qtrs in a row | AI quality score is Pro: unlock with a free trial | 13F | |
| 26 | $FLC | FLAHERTY & CRUMRINE TOTAL RETURN FUND INC | Other | $1.9M | 1.6% | 121K | -2% | |||
| 27 | $PTY | PIMCO CORPORATE & INCOME OPPORTUNITY FUND | Other | $1.8M | 1.5% | 165K | -1% | |||
| 28 | $DSU | BLACKROCK DEBT STRATEGIES FUND, INC. | Other | $1.8M | 1.4% | 196K | +1% | |||
| 29 | $DFP | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc | Other | $1.8M | 1.4% | 93K | -0.5% | |||
| 30 | — | VANGUARD INDEX FDS - MRNGSTR VAL ETF | — | $1.3M | 1.1% | 6,229 | +23% | |||
| 31 | $BUI | BlackRock Utilities, Infrastructure & Power Opportunities Trust | — | $1.3M | 1.1% | 53K | +0.1% | |||
| 32 | — | STATE STR SPDR DOW JONES IND - UT SER 1 | — | $1.2M | 1.0% | 2,443 | +127% | |||
| 33 | $GOF | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND | Other | $1.2M | 1.0% | 141K | +0.7% | |||
| 34 | — | SPDR SERIES TRUST - ST STR P500ETF | — | $1.2M | 1.0% | 13K | +2% | |||
| 35 | $SOR | SOURCE CAPITAL /DE/ | Other | $1.2M | 0.9% | 25K | -9% | |||
| 36 | — | FIRST TR EXCHANGE-TRADED FD - NASDQ CLN EDGE | — | $1.1M | 0.9% | 6,490 | +39% | |||
| 37 | — | FLAHERTY & CRUMRIN PFD & INM - COM | — | $1.1M | 0.9% | 76K | +1% | |||
| 38 | $ASGI | abrdn Global Infrastructure Income Fund | Other | $1.0M | 0.9% | 54K | -4% | |||
| 39 | $MPV | BARINGS PARTICIPATION INVESTORS | Other | $1.0M | 0.8% | 68K | -0.5% | |||
| 40 | $GDO | WESTERN ASSET GLOBAL CORPORATE OPPORTUNITY FUND INC. | Other | $1.0M | 0.8% | 106K | -4% | |||
| 41 | $NVG | Nuveen AMT-Free Municipal Credit Income Fund | Other | $912K | 0.7% | 86K | -1% | |||
| 42 | $CNS | COHEN & STEERS, INC. | Financials | $844K | 0.7% | 45K | -0.2% | |||
| 43 | $PFD | FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC | Other | $770K | 0.6% | 71K | -2% | |||
| 44 | $OHI | OMEGA HEALTHCARE INVESTORS INC | Real Estate | $695K | 0.6% | 15K | -4% | |||
| 45 | $STK | Columbia Seligman Premium Technology Growth Fund, Inc. | Other | $694K | 0.6% | 13K | -18% | |||
| 46 | $BME | BlackRock Health Sciences Trust | — | $675K | 0.6% | 15K | -6% | |||
| 47 | $SPH | SUBURBAN PROPANE PARTNERS LP | Consumer Discretionary | $673K | 0.6% | 41K | -1% | |||
| 48 | $BLW | BLACKROCK Ltd DURATION INCOME TRUST | — | $605K | 0.5% | 53K | -1% | |||
| 49 | $GOOGL | Alphabet Inc. | Technology | $576K | 0.5% | 1,674 | -1% | |||
| 50 | $OUT | OUTFRONT Media Inc. | Real Estate | $537K | 0.4% | 19K | — | |||
| 51 | $HYT | BLACKROCK CORPORATE HIGH YIELD FUND, INC. | Other | $530K | 0.4% | 68K | -4% | |||
| 52 | $DOC | HEALTHPEAK PROPERTIES, INC. | Real Estate | $516K | 0.4% | 26K | -5% | |||
| 53 | — | VANGUARD INDEX FDS - MRNGSTR MD CP GR | — | $504K | 0.4% | 1,726 | +0.2% | |||
| 54 | $IRM | IRON MOUNTAIN INC | Real Estate | $471K | 0.4% | 4,246 | -11% | |||
| 55 | $WMT | Walmart Inc. | Consumer Staples | $468K | 0.4% | 4,500 | +1% | |||
| 56 | $MSD | MORGAN STANLEY EMERGING MARKETS DEBT FUND INC | Other | $461K | 0.4% | 68K | -4% | |||
| 57 | $LDP | Cohen & Steers Ltd Duration Preferred & Income Fund, Inc. | Other | $334K | 0.3% | 17K | -5% | |||
| 58 | — | VANGUARD INDEX FDS - MRNGSTR GRWT ETF | — | $329K | 0.3% | 3,650 | New | |||
| 59 | $DUK | Duke Energy CORP | Utilities | $284K | 0.2% | 2,489 | -5% | |||
| 60 | $AMGN | AMGEN INC | Healthcare | $279K | 0.2% | 661 | — | |||
| 61 | $PFO | Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC | Other | $265K | 0.2% | 31K | — | |||
| 62 | $MO | ALTRIA GROUP, INC. | Consumer Staples | $240K | 0.2% | 3,566 | -2% | |||
| 63 | $GOOG | Alphabet Inc. | Technology | $236K | 0.2% | 693 | New | |||
| 64 | — | FIRST TR EXCHANGE TRADED FD - RISNG DIVD ACHIV | — | $225K | 0.2% | 2,867 | New | |||
| 65 | — | VANGUARD INDEX FDS - S&P 500 ETF SHS | — | $209K | 0.2% | 298 | New | |||
| 66 | $ASG | LIBERTY ALL STAR GROWTH FUND INC. | Other | $202K | 0.2% | 40K | -0.7% | |||
| 67 | $SEVN | Seven Hills Realty Trust | Real Estate | $190K | 0.2% | 28K | -6% | |||
| 68 | $AFB | ALLIANCEBERNSTEIN NATIONAL MUNICIPAL INCOME FUND | Other | $173K | 0.1% | 18K | — | |||
| 69 | $DHC | DIVERSIFIED HEALTHCARE TRUST | Real Estate | $171K | 0.1% | 22K | -2% | |||
| 70 | $WEA | WESTERN ASSET PREMIER BOND FUND | Other | $164K | 0.1% | 17K | -10% | |||
| 71 | $PMO | FRANKLIN MUNICIPAL OPPORTUNITIES TRUST | Other | $112K | 0.1% | 12K | -2% | |||
| 72 | $USA | LIBERTY ALL STAR EQUITY FUND | Other | $104K | 0.1% | 18K | -1% | |||
| 73 | — | ABRDN GLOBAL INFRA INCOME FU - RIGHT 10/15/2026 | — | $680 | 0.0% | 54K | New |
What changed in Q3 2026
Against the previous quarter's 13F: 4 new, 17 added to, 47 trimmed, 2 sold out. Share-count changes; largest moves by dollar size first.
New positions (4)
- VANGUARD INDEX FDS - MRNGSTR GRWT ETF$329K
first bought this quarter
- FIRST TR EXCHANGE TRADED FD - RISNG DIVD ACHIV$225K
first bought this quarter
- VANGUARD INDEX FDS - S&P 500 ETF SHS$209K
first bought this quarter
- ABRDN GLOBAL INFRA INCOME FU - RIGHT 10/15/2026$680
first bought this quarter
Added to (17)
now $2.8M · held 5+ qtrs, 4 adds in a row
- STATE STR SPDR DOW JONES IND - UT SER 1+127%
now $1.2M
- FIRST TR EXCHANGE-TRADED FD - NASDQ CLN EDGE+39%
now $1.1M
- VANGUARD WORLD FD - INDUSTRIAL ETF+10%
now $3.5M
- VANGUARD INDEX FDS - MRNGSTR VAL ETF+23%
now $1.3M
now $2.8M · held 4 qtrs, 4 adds in a row
+11 more in the Excel export
Trimmed (47)
now $4.4M · held 5+ qtrs, 2 trims in a row
now $4.2M · held 5+ qtrs
now $7.7M · held 5+ qtrs
- BLACKROCK ENHANCED INTL DIV - COM BENE INTER-6%
now $2.5M
$STKColumbia Seligman Premium Technology Growth Fund, Inc.-18%
now $694K · held 5+ qtrs, 2 trims in a row
$SORSOURCE CAPITAL /DE/-9%
now $1.2M · held 5+ qtrs
+41 more in the Excel export
Holdings by quarter
Every 13F Smith Asset Management Co., LLC has filed, 7 earlier quarters. Pick one to see what it held then.
Is it too late to follow Smith Asset Management?
Q3 2026 13F filed with the SEC on Oct 16, 2026. Prices are closing prices as of Oct 26, 2026.
Average quality of Smith Asset Management's top 20 holdings: 68/100 (our AI quality score, weighted by position size; 4 of the 20 are scored)
Top 10 since filing
-0.5%
Value-weighted move of the 10 largest stock positions
Turnover
2%
Last quarter; 11% over the last 4
Top 10 weight
41%
Share of the stock portfolio in its 10 largest positions
Held 4+ quarters
99%
Share of portfolio value in positions held a year or more
Highest-quality names it owns(among its 100 largest positions)
The 8 highest-scoring companies in this portfolio are a Pro feature.
How these are measured
- Moves since the quarter-end and since the filing date use our own daily closing prices, from the close on (or just before) each date to the latest close.
- Turnover is the lesser of shares bought or sold in a quarter, valued at the quarter-end prices in the 13F, divided by the average of the two quarters' stock portfolio values.
- Quarters held and add/trim streaks count back only through quarters whose filed holdings add up to the filing's own cover-page total (back to Q3 2025 for this fund). A change counts as an add or a trim when the split-adjusted share count moves by more than 1%.
- Estimate, not the fund's reported cost. For each quarter in the current holding period in which the fund's share count rose (split-adjusted), we take that quarter's average daily close and weight it by the shares added; sales do not change an average cost. Quarters where the stock's price history and the 13F's own implied price disagree by more than 2x are left out.
- Put and call option rows report the value of the underlying shares, not a position the fund paid for, so they are left out of all of the above.
Portfolio Overview
Smith Asset Management Co., LLC disclosed 73 positions worth $122.7M in its Form 13F-HR for Q3 2026, led by $BRK.B (BERKSHIRE HATHAWAY INC) at 6.3% of the equity portfolio, followed by $ARCC and $JPC. During the quarter the fund opened 4 new positions and exited 2 and a full exit from $ETG. The portfolio is most concentrated in Other (79.4% of disclosed assets). All figures are sourced directly from Smith Asset Management Co., LLC’s Form 13F-HR filing with the SEC under CIK 2068217.
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