Q3 2026 13F · SEC CIK 2068217

Smith Asset Management Co., LLC

Wealth managerFiled 2026-10-16 for Q3 2026. Open the filing ↗ · All SEC filings ↗

Reported 13F value: $122.7M
Reported positions: 73
Holdings vs S&P 500, 3 yrs: —
Assets under management: $281.2M

Smith Asset Management Co., LLC is a wealth manager that reported 73 positions worth $122.7M in its Q3 2026 13F, filed 2026-10-16. Its largest holdings were Berkshire Hathaway Inc Del (BRK-B, 6.3%), Ares Capital Corp (ARCC, 5.5%), Nuveen Pfd & Income Opportun (JPC, 4.9%).

Smith Asset Management Co., LLC holdings largest 50 of 73 positions.

Weights are shares of the filer's total reported 13F value, compared with Q2 2026. Share changes may reflect splits; weight changes also reflect price moves. A 13F shows long US-listed positions only, up to 135 days after the fact.

Smith Asset Management Co., LLC 13F holdings
Stock	% of 13F value	Q2 2026	Shares	Share change	Reported value
BRK-BBerkshire Hathaway Inc Del	6.3%	6.3%	15,501	-2.6%	$7.7M
ARCCAres Capital Corp	5.5%	5.1%	352,408	+0.8%	$6.7M
JPCNuveen Pfd & Income Opportun	4.9%	5.5%	874,373	-1.9%	$6.0M
VGTVanguard World Fd	4.7%	4.3%	46,070	+0.9%	$5.8M
SPYState Str Spdr S&p 500 ETF T	3.8%	3.5%	6,168	+2.6%	$4.7M
CSQCalamos Strategic Total Retu	3.6%	3.7%	214,209	-5.5%	$4.4M
AAPLApple Inc	3.4%	3.0%	12,626	-5.0%	$4.2M
DNPDnp Select Income Fd Inc	3.0%	3.4%	389,428	-1.7%	$3.7M
AWFAlliancebernstein Global Hig	3.0%	3.1%	374,429	-3.1%	$3.6M
VISVanguard Industrials ETF	2.9%	2.8%	10,920	+9.7%	$3.5M
RFICohen & Steers Total Return	2.8%	3.0%	328,916	-1.4%	$3.5M
FFAFirst Tr Enhanced Equity	2.7%	2.6%	146,891	-1.9%	$3.3M
MCIBarings Corporate Investors (M	2.4%	2.3%	167,534	-1.2%	$3.0M
QQQInvesco Qqq Tr	2.3%	1.6%	3,849	+40.1%	$2.8M
MSFTMicrosoft Corp	2.3%	1.5%	5,473	+8.0%	$2.8M
PCNPimco Corporate & Incm Strg	2.1%	2.3%	237,763	-1.9%	$2.5M
BGYBlackrock Enhanced Intl Div	2.1%	2.2%	450,171	-5.9%	$2.5M
BTZBlackrock Cr Allocation	2.0%	2.2%	269,620	-1.4%	$2.5M
UTGReaves Util Income Fd	2.0%	2.4%	72,740	-1.5%	$2.5M
NLYAnnaly Capital Management in	1.9%	2.2%	125,397	-0.3%	$2.4M
HQHAbrdn Healthcare Investors	1.9%	1.9%	111,254	-1.3%	$2.3M
PSFCohen & Steers Select Pfd &	1.9%	2.1%	126,979	-2.1%	$2.3M
UTFCohen & Steers Infrastructur	1.8%	2.0%	90,908	-3.2%	$2.2M
PDIPimco Dynamic Income Fd	1.8%	2.1%	159,036	-1.1%	$2.2M
AMZNAmazon Com Inc	1.6%	1.3%	7,847	+10.6%	$2.0M
FLCFlaherty & Crumrine Total Re	1.6%	1.6%	121,220	-2.3%	$1.9M
PTYPimco Corporate & Income Opp	1.5%	1.6%	165,436	-1.2%	$1.8M
DSUBlackrock Debt Strategies Fd	1.4%	1.5%	196,494	+1.2%	$1.8M
DFPFlaherty & Crumrine Dynamic	1.4%	1.5%	93,260	-0.5%	$1.8M
VTVVanguard Index Fds	1.1%	0.9%	6,229	+22.8%	$1.3M
BUIBlackrock Utils Infrastructu	1.1%	1.2%	52,564	+0.1%	$1.3M
DIASpdr Dow Jones Indl Average	1.0%	—	2,443	—	$1.2M
GOFGuggenheim Strategic Opportu	1.0%	1.2%	141,021	+0.7%	$1.2M
SPLGSpdr Series Trust	1.0%	0.9%	13,224	+1.7%	$1.2M
SORSource Capital	0.9%	1.0%	25,455	-9.3%	$1.2M
GRIDFirst Tr Exchange-Traded Fd	0.9%	0.7%	6,490	+39.4%	$1.1M
FFCFlaherty & Crumrin Pfd & Inm	0.9%	1.0%	75,792	+1.2%	$1.1M
ASGIAbrdn Global Infra Income Fu	0.9%	1.0%	54,321	-3.8%	$1.0M
MPVBarings Partn Invs	0.8%	0.9%	67,645	-0.5%	$1.0M
GDOWstrn Ast Glbl Corp Opp Fd I	0.8%	0.9%	106,426	-4.3%	$1.0M
NVGNuveen Amt Free Mun Cr Inc F	0.7%	0.9%	85,926	-1.1%	$912K
RNPCohen & Steers REIT & Pfd &	0.7%	0.7%	45,232	-0.2%	$844K
PFDFlaherty & Crumrine Pfd Inco	0.6%	0.7%	71,468	-1.7%	$770K
OHIOmega Healthcare Invs Inc	0.6%	0.6%	14,997	-4.3%	$695K
STKColumbia Seligm Prem Tech Gr	0.6%	0.7%	12,901	-17.8%	$694K
BMEBlackrock Health Sciences Tr	0.6%	0.5%	15,287	-5.5%	$675K
SPHSuburban Propane Partners L	0.5%	0.6%	40,920	-1.3%	$673K
BLWBlackrock Ltd Duration Incom	0.5%	0.5%	52,680	-1.3%	$605K
GOOGLAlphabet Inc	0.5%	0.5%	1,674	-1.3%	$576K
OUTOutfront Media Inc	0.4%	0.5%	19,354	+0.0%	$537K

What Smith Asset Management Co., LLC bought and sold in Q3 2026, against Q2 2026.

New positions

Q2 2026's filing was too long to tell new positions apart.

Share counts compared with the Q2 2026 13F; a split also changes share counts. The latest filing lists more than 50 positions, so a position that left the top 50 may still be held.

How the holdings did against the S&P 500.

1 year: +1.9% /yr; S&P 500 +20.1%
3 years: —
5 years: —

A portfolio of the filer's 20 largest 13F positions, weighted by value, bought the trading day after each 13F was filed and held until the next one was: what copying this filer could have earned. 13Fs show long US-listed positions only, so this is an estimate of the stock picks, not the fund's reported returns.

Reported 13F value by quarter.

13F value by quarter
Quarter	13F value	Positions
Q3 2026	$122.7M	73
Q2 2026	$127.1M	70
Q1 2026	$116.5M	71
Q4 2025	$121.1M	70
Q3 2025	$117.4M	67
Q2 2025	$115.8M	69
Q1 2025	$106.1M	66

Questions about Smith Asset Management Co., LLC's portfolio

What stocks does Smith Asset Management Co., LLC own?

Smith Asset Management Co., LLC's latest 13F, for Q3 2026 and filed Oct 16, 2026, lists 73 positions worth $122.7M. The largest are Berkshire Hathaway Inc Del (BRK-B) at 6.3%, Ares Capital Corp (ARCC) at 5.5%, Nuveen Pfd & Income Opportun (JPC) at 4.9%, Vanguard World Fd (VGT) at 4.7% and State Str Spdr S&p 500 ETF T (SPY) at 3.8%.

What did Smith Asset Management Co., LLC buy last quarter?

In Q3 2026, Smith Asset Management Co., LLC added Invesco Qqq Tr (QQQ) (+40.1% shares), First Tr Exchange-Traded Fd (GRID) (+39.4% shares) and Vanguard Index Fds (VTV) (+22.8% shares), compared with its Q2 2026 filing.

What did Smith Asset Management Co., LLC sell last quarter?

In Q3 2026, Smith Asset Management Co., LLC cut from its top 50 Blackrock Corpor Hi Yld Fd I (HYT), Columbia Seligm Prem Tech Gr (STK) (-17.8% shares), Source Capital (SOR) (-9.3% shares) and Blackrock Enhanced Intl Div (BGY) (-5.9% shares), compared with its Q2 2026 filing.

When is Smith Asset Management Co., LLC's next 13F filing due?

13F filings are due 45 days after each quarter ends. Smith Asset Management Co., LLC's filing for the quarter ending Dec 31, 2026 is due by Feb 14, 2027; this page updates the day after it is published.

How much money does Smith Asset Management Co., LLC manage?

Smith Asset Management Co., LLC reported $281.2M of regulatory assets under management on its latest SEC Form ADV. Its 13F, which covers only US-listed stocks and options, totals $122.7M.