| |
William B. Smith, President, CEO, Senior Portfolio Manager
 William B. Smith is the founder of SAM Advisors, LLC (formerly the Registered Investment Advisory unit of Smith Asset Management, Inc.) and Smith Asset Management, Inc., a registered broker-dealer, both headquartered in New York City.
Mr. Smith established his money management and brokerage operations in 1997 after becoming disenchanted with the inherent conflicts of interests that he experienced with Wall Street research and investment banking.
Mr. Smith utilizes a "bottom up," "value" approach as well as a "special situation" model for managing portfolios on a Separate Account platform. Mr. Smith looks for out-of- favor sectors, companies going through restructuring (where the sum of the parts can lead to a higher price than where the equity or debt is trading in the public markets), or "deep value" investments that may be under-appreciated or under-followed by the capital markets "sell side" research.
Mr. Smith also implements hedging techniques, using covered call strategies, short selling and from time to time, "macro," "top down" hedges against interest rates or commodity prices. Mr. Smith typically utilizes these practices to hedge against current portfolio positions.
Mr. Smith is a graduate of the University of Buffalo, where he is now a member of the Board of Directors of the University of Buffalo Alumni Association.
David Rauch, Managing Director, Portfolio Manager
 David Rauch has provided investment advice since 1992. Since 1999, Mr. Rauch has managed portfolios with discretionary authority for high net worth individuals and institutions on a separate account basis. Mr. Rauch’s investment style focuses on identifying and acting on misperceptions and inconsistencies in the global markets. Mr. Rauch feels that successful investing in the current environment demands a tremendous amount of time, discipline, and intellectual independence. Mr. Rauch believes investor’s portfolios require vigilant safeguarding through a combination of attention, common sense, and most importantly, a mix of self-assuredness and humility. The maxim “Know thy Client” is the golden rule in Mr. Rauch’s managed portfolios. Mr. Rauch earned a Bachelors degree from Miami University in Oxford, Ohio.
Theodore Thiro, Managing Director
 Ted Thiro handles option strategies at Smith Asset Management, Inc. Mr. Thiro is responsible for implementing hedging and covered call strategies for high net worth individuals and institutions. Mr. Thiro advises clients in creating “covered call portfolios” which attempt to limit risk and create more predictable returns over a finite period of time. Mr. Thiro has spent nearly 30 years in the securities industry in various capacities ranging from Financial Consultant to Fixed Income sales. Mr. Thiro received his Bachelors degree in Pharmacy from Columbia.
Samuel Zimetbaum, CFO, CPA, Financial and Operations Principal
 Mr. Zimetbaum has served as Financial and Operations Principal of SAM Advisors, LLC. since its founding. Most recently, Mr. Zimetbaum was appointed to Chief Financial Officer, expanding the scope of his undertakings with the Smith group. Mr. Zimetbaum has over 35 years of experience in the financial community. He has achieved notable global success ranging from investment banking activities to auditing for Fortune 500 companies. His professional engagements include a wide range of experience in various industry segments and extend to practice in accounting, taxation, forensic accounting, real estate evaluation and investment, private and public investment banking offerings as well as business and economic forecasting. A graduate of the Wharton School at the University of Pennsylvania and the Stern School/Salomon Brothers Center for the Study of Financial Institutions at New York University, Mr. Zimetbaum holds a bachelor's degree and two master's degrees, all awarded with honors, in the areas of accounting and finance. He is licensed as a Certified Public Accountant; Certified Fraud Examiner; and Securities Industry Principal in four designated fields.
|
