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Smith Asset Management, Inc. is a full service Registered Broker-Dealer based in New York City. The firm specializes on the capital market trading strategies of equities, debt and options. The firm also concentrates on institutional trading and provides corporate executives with tools and recommendations for the exercise of options and creation of collar strategies for wealth preservation and decreased portfolio volatility.
Smith Asset Management, Inc. was founded by William B. Smith, who entered the investment management business in 1991. Mr. Smith holds the positions of President and Chief Executive Officer. In 1997, the firm was established as a dual registered Broker-Dealer and Registered Investment Advisor. In January of 2005, The Registered Investment Advisor, SAM Advisors LLC., was spun off from Smith Asset Management, Inc. leaving Smith Asset Management as a Broker-Dealer focusing on Capital Market trading strategies.
The firm has enjoyed steady and sizable growth since its inception and offers a comprehensive range of trading strategies.
While Smith Asset Management, Inc. has grown over the years, one factor has remained constant -- the dedication to quality in our business practices.
Focus on Retail and Institutional Relationships
Unlike other Broker/Dealers, we focus primarily on trading advice for high net-worth Individuals and Institutions. We understand the unique dynamics of the capital markets and offer the personalized service, ongoing communication and trust that form the foundation of successful client relationships.
Mission
Our Broker-Dealer was founded upon the trust and confidence of our clients. Our mission is to help our clients achieve their financial goals in the capital markets.
Values
We are committed to quality in both our investments and our business practices. From an operating perspective, we believe that quality is reflected in superior day-to-day execution across the various parts of the organization. We emphasize the details and require accuracy and timeliness from our employees.
Service
Helping our clients achieve their goals is the basis of our long-term success. We listen carefully to them to understand their individual circumstances and concerns, help them tailor investment strategies to achieve their goals using realistic assumptions, and review progress regularly. We believe that frequent personal contact and clear written communication are the best means to render superior service.
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