← 栏目首页 | 数据源：SEC Form ADV Part 1（FOIA 全量数据包）· 该机构最新一次申报（03/27/2024）
SMITH GROUP ASSET MANAGEMENT, LLC · 所有者与执行高管（CRD 313265）
机构事实页：SMITH GROUP ASSET MANAGEMENT, LLC 事实页 → | 官方原文：IAPD firm-summary/313265
Schedule A · 直接所有者（10 条）
| 名称 | 类型 | 职务 / 身份 | 控制人 | 持股方式 |
|---|---|---|---|---|
| CANTOR FITZGERALD INVESTMENT ADVISORS | 境内实体 | MANAGING MEMBER | 是 | D |
| MILLARD, MICHAEL, GERARD | 个人 | SENIOR VICE PRESIDENT | 是 | NA |
| PAULSON, KENNETH, MICHAEL | 个人 | CHIEF FINANCIAL OFFICER | 是 | NA |
| SMITH, STEPHEN, SPENCER | 个人 | CEO, CHAIRMAN OF INVESTMENT COMMITTEE | 是 | NA |
| Brim, John, David | 个人 | PRESIDENT AND CHIEF INVESTMENT OFFICER | 是 | NA |
| SMITH GROUP ASSET MANAGEMENT | 境内实体 | MEMBER | 是 | C |
| FERRI, WILLIAM, JOSEPH | 个人 | GLOBAL HEAD OF ASSET MANAGEMENT | 是 | NA |
| KAPLAN, MARK, ELLIOT | 个人 | CHIEF OPERATING OFFICER | 是 | NA |
| KARLE, WALTER, DESMOND | 个人 | CHIEF COMPLIANCE OFFICER | 是 | NA |
| JONES, JOHN, JOSEPH | 个人 | SENIOR MANAGING DIRECTOR & SECRETARY | 是 | NA |
Schedule B · 执行高管（11 条）
| 名称 | 职务 | 控制人 |
|---|---|---|
| CANTOR FITZGERALD INVESTMENT ADVISORS HOLDINGS, LLC | MEMBER | 是 |
| CANTOR FITZGERALD, L.P. | SOLE MEMBER | 是 |
| CF GROUP MANAGEMENT, INC. | MANAGING GENERAL PARTNER | 是 |
| HOWARD W. LUTNICK PERSONAL ASSET TRUST | LIMITED PARTNER | 是 |
| LUTNICK, HOWARD, WILLIAM | SOLE TRUSTEE | 是 |
| HOWARD W. LUTNICK REVOCABLE TRUST | SHAREHOLDER | 是 |
| LUTNICK, HOWARD, WILLIAM | SOLE TRUSTEE | 是 |
| DALLAS ADVISORS, LLC | GENERAL PARTNER | 是 |
| SMITH GROUP EMPLOYEE PARTNER 1, LLC | LIMITED PARTNER | 是 |
| SMITH GROUP EMPLOYEE PARTNER 2, LLC | LIMITED PARTNER | 是 |
| SMITH, STEPHEN, SPENCER | LIMITED PARTNER | 是 |
口径：Form ADV 为投资顾问向 SEC/IARD 的申报，所有者与高管为机构自报；本库取该机构在数据区间内的最新一次申报快照（官方数据包截至 2024-12-31），此后的人事变化不在本页反映。持股方式为 ADV 原始代码。
