SMITH ASSET MANAGEMENT CO., LLC

Filed: 10/16/2026ACC: 0001172661-26-004582

📋 What this filing means

SMITH ASSET MANAGEMENT CO., LLC filed this quarterly 13F‑HR report disclosing 73 equity positions with a total reported market value of $122.73M. This filing provides a transparent view of the manager's long equity holdings as of the quarter end.

Positions

$122.73M

Total AUM (reported)

6.53M

Total Shares

Allocation by class

COM$64.21M52.3%

CL B NEW$7.72M6.3%

COM SH BEN INT$7.04M5.7%

INF TECH ETF$5.79M4.7%

COM NEW$4.96M4.0%

TR UNIT$4.70M3.8%

SHS$3.99M3.3%

Portfolio Concentration

Top 3$20.41M16.6%

4–10$29.94M24.4%

11–25$38.84M31.6%

Rest$33.54M27.3%

Top 3 weight

16.6%

Top 10 weight

41.0%

Voting Authority Distribution

Total shares with voting rights: 6.53M

Sole

Full voting authority

6.53M

% of voting shares100.0%

Shared

Joint voting authority

0.00

% of voting shares0.0%

None

No voting authority

0.00

% of voting shares0.0%

Investment Discretion (by position count)

Sole73

Shared0

Other0

Dominant voting typeSole · 100.0% of voting shares

Institutional Holdings73

Rows:

BERKSHIRE HATHAWAY INC DEL

SOLE

CL B NEW

Shares15.50K

TypeSH

Market value$7.72M

6.29%

Sole

15.50K

Shared

0.00

None

0.00

ARES CAPITAL CORP

SOLE

COM

Shares352.41K

TypeSH

Market value$6.73M

5.48%

Sole

352.41K

Shared

0.00

None

0.00

NUVEEN PFD & INCOME OPPORTUN

SOLE

COM

Shares874.37K

TypeSH

Market value$5.96M

4.86%

Sole

874.37K

Shared

0.00

None

0.00

VANGUARD WORLD FD

SOLE

INF TECH ETF

Shares46.07K

TypeSH

Market value$5.79M

4.72%

Sole

46.07K

Shared

0.00

None

0.00

STATE STR SPDR S&P 500 ETF T

SOLE

TR UNIT

Shares6.17K

TypeSH

Market value$4.70M

3.83%

Sole

6.17K

Shared

0.00

None

0.00

CALAMOS STRATEGIC TOTAL RETU

SOLE

COM SH BEN INT

Shares214.21K

TypeSH

Market value$4.37M

3.56%

Sole

214.21K

Shared

0.00

None

0.00

APPLE INC

SOLE

COM

Shares12.63K

TypeSH

Market value$4.20M

3.43%

Sole

12.63K

Shared

0.00

None

0.00

DNP SELECT INCOME FD INC

SOLE

COM

Shares389.43K

TypeSH

Market value$3.73M

3.04%

Sole

389.43K

Shared

0.00

None

0.00

ALLIANCEBERNSTEIN GLOBAL HIG

SOLE

COM

Shares374.43K

TypeSH

Market value$3.64M

2.97%

Sole

374.43K

Shared

0.00

None

0.00

VANGUARD WORLD FD

SOLE

INDUSTRIAL ETF

Shares10.92K

TypeSH

Market value$3.50M

2.85%

Sole

10.92K

Shared

0.00

None

0.00

COHEN & STEERS TOTAL RETURN

SOLE

COM

Shares328.92K

TypeSH

Market value$3.45M

2.81%

Sole

328.92K

Shared

0.00

None

0.00

FIRST TR ENHANCED EQUITY

SOLE

COM

Shares146.89K

TypeSH

Market value$3.27M

2.66%

Sole

146.89K

Shared

0.00

None

0.00

BARINGS CORPORATE INVS

SOLE

COM

Shares167.53K

TypeSH

Market value$2.96M

2.41%

Sole

167.53K

Shared

0.00

None

0.00

INVESCO QQQ TR

SOLE

UNIT SER 1

Shares3.85K

TypeSH

Market value$2.85M

2.32%

Sole

3.85K

Shared

0.00

None

0.00

MICROSOFT CORP

SOLE

COM

Shares5.47K

TypeSH

Market value$2.81M

2.29%

Sole

5.47K

Shared

0.00

None

0.00

PIMCO CORPORATE & INCM STRG

SOLE

COM

Shares237.76K

TypeSH

Market value$2.54M

2.07%

Sole

237.76K

Shared

0.00

None

0.00

BLACKROCK ENHANCED INTL DIV

SOLE

COM BENE INTER

Shares450.17K

TypeSH

Market value$2.53M

2.07%

Sole

450.17K

Shared

0.00

None

0.00

BLACKROCK CR ALLOCATION

SOLE

COM

Shares269.62K

TypeSH

Market value$2.51M

2.05%

Sole

269.62K

Shared

0.00

None

0.00

REAVES UTIL INCOME FD

SOLE

COM SH BEN INT

Shares72.74K

TypeSH

Market value$2.50M

2.04%

Sole

72.74K

Shared

0.00

None

0.00

ANNALY CAPITAL MANAGEMENT IN

SOLE

COM NEW

Shares125.40K

TypeSH

Market value$2.37M

1.93%

Sole

125.40K

Shared

0.00

None

0.00

ABRDN HEALTHCARE INVESTORS

SOLE

SH BEN INT

Shares111.25K

TypeSH

Market value$2.32M

1.89%

Sole

111.25K

Shared

0.00

None

0.00

COHEN & STEERS SELECT PFD &

SOLE

COM

Shares126.98K

TypeSH

Market value$2.30M

1.88%

Sole

126.98K

Shared

0.00

None

0.00

COHEN & STEERS INFRASTRUCTUR

SOLE

COM

Shares90.91K

TypeSH

Market value$2.24M

1.83%

Sole

90.91K

Shared

0.00

None

0.00

PIMCO DYNAMIC INCOME FD

SOLE

SHS

Shares159.04K

TypeSH

Market value$2.23M

1.82%

Sole

159.04K

Shared

0.00

None

0.00

AMAZON COM INC

SOLE

COM

Shares7.85K

TypeSH

Market value$1.96M

1.59%

Sole

7.85K

Shared

0.00

None

0.00

Issuer	Class	Shares	Type	Value / Portfolio %	Voting — Sole
BERKSHIRE HATHAWAY INC DELSOLE	CL B NEW	15.50K	SH	$7.72M 6.29%	15.50K
ARES CAPITAL CORPSOLE	COM	352.41K	SH	$6.73M 5.48%	352.41K
NUVEEN PFD & INCOME OPPORTUNSOLE	COM	874.37K	SH	$5.96M 4.86%	874.37K
VANGUARD WORLD FDSOLE	INF TECH ETF	46.07K	SH	$5.79M 4.72%	46.07K
STATE STR SPDR S&P 500 ETF TSOLE	TR UNIT	6.17K	SH	$4.70M 3.83%	6.17K
CALAMOS STRATEGIC TOTAL RETUSOLE	COM SH BEN INT	214.21K	SH	$4.37M 3.56%	214.21K
APPLE INCSOLE	COM	12.63K	SH	$4.20M 3.43%	12.63K
DNP SELECT INCOME FD INCSOLE	COM	389.43K	SH	$3.73M 3.04%	389.43K
ALLIANCEBERNSTEIN GLOBAL HIGSOLE	COM	374.43K	SH	$3.64M 2.97%	374.43K
VANGUARD WORLD FDSOLE	INDUSTRIAL ETF	10.92K	SH	$3.50M 2.85%	10.92K
COHEN & STEERS TOTAL RETURNSOLE	COM	328.92K	SH	$3.45M 2.81%	328.92K
FIRST TR ENHANCED EQUITYSOLE	COM	146.89K	SH	$3.27M 2.66%	146.89K
BARINGS CORPORATE INVSSOLE	COM	167.53K	SH	$2.96M 2.41%	167.53K
INVESCO QQQ TRSOLE	UNIT SER 1	3.85K	SH	$2.85M 2.32%	3.85K
MICROSOFT CORPSOLE	COM	5.47K	SH	$2.81M 2.29%	5.47K
PIMCO CORPORATE & INCM STRGSOLE	COM	237.76K	SH	$2.54M 2.07%	237.76K
BLACKROCK ENHANCED INTL DIVSOLE	COM BENE INTER	450.17K	SH	$2.53M 2.07%	450.17K
BLACKROCK CR ALLOCATIONSOLE	COM	269.62K	SH	$2.51M 2.05%	269.62K
REAVES UTIL INCOME FDSOLE	COM SH BEN INT	72.74K	SH	$2.50M 2.04%	72.74K
ANNALY CAPITAL MANAGEMENT INSOLE	COM NEW	125.40K	SH	$2.37M 1.93%	125.40K
ABRDN HEALTHCARE INVESTORSSOLE	SH BEN INT	111.25K	SH	$2.32M 1.89%	111.25K
COHEN & STEERS SELECT PFD &SOLE	COM	126.98K	SH	$2.30M 1.88%	126.98K
COHEN & STEERS INFRASTRUCTURSOLE	COM	90.91K	SH	$2.24M 1.83%	90.91K
PIMCO DYNAMIC INCOME FDSOLE	SHS	159.04K	SH	$2.23M 1.82%	159.04K
AMAZON COM INCSOLE	COM	7.85K	SH	$1.96M 1.59%	7.85K

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