Smith Breeden Associates Inc (Durham)

Name: Smith Breeden Associates Inc
Address: 280 South Mangum Street, Durham, NC, 27701 3676
Telephone: 919-967-7221

Smith Breeden Associates Inc is a large advisory firm based in Durham. It manages $7.81 billion of regulatory assets for 39 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Colorado, Connecticut, Delaware, and 9 other states.

Smith Breeden Associates provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and may engage in special projects related to the financial industry but which may not involve investment advice.. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Smith Breeden Associates: assets under management

The assets under management (AUM) of Smith Breeden Associates Inc is $7.81 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -73% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $7.81 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $200.17 million each.

Smith Breeden Associates has custody of $13.16 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smith Breeden Associates Inc for their services and products based on a percentage of assets under management, hourly charges, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Smith Breeden Associates Inc

Stephen Alcuin Eason has been acting as President since 1 Oct 1991. Daniel Dektar has served as the Chief Investment Officer since 1 Oct 1994 and Eugene Flood is the Chief Executive Officer of Smith Breeden Associates Inc family office. Aimee Kathryn Harmelink joined the executive team most recently as the Chief Compliance Officer/Secretary.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Douglas Tower Breeden	Chairman	1 Jun 1982	50% - 75%	1596631
Michael Joseph Giarla	Director/chairman/president/chief executive officer	1 Jul 1986	Other	1574118
Daniel Dektar	Director/senior vice president	1 Oct 1986	Other	1578715
Daniel C. Dektar	Principal/chief investment officer	1 Aug 1987	Other	1578715
John Christopher Appel	Director	1 Apr 1988	Other	1615721
Stephen Alcuin Eason	Director/executive vice president/director of marketing and client service	1 Apr 1988	Other	1104114
Michael Joseph Giarla	Director/executive vice president/chief operating officer	1 Aug 1988	Other	1574118
Gerald Joseph Madigan	Director/senior vice president	1 Aug 1988	Other	1618558
Daniel Dektar	Director/executive vice president	1 Dec 1989	Other	1578715
John Sprow	Principal - senior portfolio manager	1 Apr 1991	Other	1904446
John Barker Sprow	Director/principal/chief risk officer	1 Apr 1991	Other	1904446
Stephen Alcuin Eason	Director/executive vice president	1 Oct 1991	Other	1104114
Sharon Earlene Fankhauser	Director	1 Oct 1991	Other	2185346
Stephen Alcuin Eason	Director/executive vice president	1 Apr 1992	Other	1104114
Eugene Flood	Director/president/chief executive officer	1 Jul 1993	Other	1718626
Timothy Rowe	Director/senior vice president	1 Jul 1993	Other	1899534
John Sprow	Director/senior vice president	1 Jul 1993	Other	1904446
Stephen Alcuin Eason	Executive vice president/director of marketing and client service	1 Oct 1994	Other	1104114
Daniel Dektar	Executive vice president/chief investment officer	1 Oct 1994	Other	1578715
Daniel C. Dektar	Principal/chief investment officer	1 Oct 1994	Other	1578715
Marianthe Mewkill	Director/senior vice president/secretary/treasurer/chief financial officer	1 Nov 1995	Other	2554711
Michael John Brennan	Director/consultant	1 Nov 1996	Other	4333904
Eduardo Saul Schwartz	Director/consultant	1 Nov 1996	Other	4333929
Stanley J Kon	Director/senior vice president	1 Jul 1997	Other	4333792
Lewis Turlington Jester	Director	1 Dec 1997	Other	4333915
Amy Arganbright	Pricipal/director of securities operations	1 Jun 1999	Other	5505283
Eugene Flood	Director/president/chief executive officer	1 Jan 2000	Other	1718626
Timothy Rowe	Principal	1 Dec 2001	Other	1899534
Timothy Durrett Rowe	Director/principal	1 Dec 2001	Other	1899534
Stanley J Kon	Executive vice president	1 Jan 2002	Other	4333792
Jennifer Breeden	Director	1 Jul 2002	Other	4643209
Michael J Giarla Revocable Trust	Shareholder	1 Jan 2003	Other	xxx-xx-xxxx
Eugene Flood	Shareholder	1 Dec 2003	Other	1718626
Michael Joseph Giarla	Vice chairman	1 Jan 2004	Other	1574118
Ricky Lee Antle	Director	1 Jan 2004	Other	4780018
Michael Joseph Giarla	Director/chairman	1 Apr 2005	Other	1574118
Eugene Flood	Shareholder	1 Apr 2005	Other	1718626
Douglas Tower Breeden	Chairman emeritus	1 Jun 2005	Other	1596631
Marianne Odoherty	Chief compliance officer	1 Jun 2005	Other	2527246
William E Schwartz	General counsel	1 Jan 2006	Other	5215996
Amy Carol Arganbright	Pricipal/director of securities operations	1 Jan 2006	Other	5505283
Timothy Durrett Rowe	Director/principal	1 Feb 2008	Other	1899534
Marianne Odoherty	Principal/chief compliance officer	1 Jan 2009	Other	2527246
William Erskine Schwartz	Principal/general counsel/secretary	1 Jan 2009	Other	5215996
Jennifer P Miller	Senior vice president/manager of financial analysis and accounting	1 Jan 2009	Other	5652814
John Barker Sprow	Director/executive vice president/chief risk officer	1 Jan 2009	Other	1904446
Daniel Rothschild Adler	Director/ executive vice president/director of the investment management group	1 Jan 2009	Other	3124717
Daniel Rothschild Adler	Director/ principal/ director of the investment management group	1 Feb 2010	Other	3124717
Jennifer P Miller	Principal/chief financial officer/assistant secretary	1 Dec 2010	Other	5652814
William Erskine Schwartz	Principal/chief compliance officer/general counsel/secretary	1 Jan 2011	Other	5215996
Carl D. Bell	Director	1 Oct 2011	Other	6042016
Aimee Kathryn Harmelink	Chief compliance officer/secretary	1 Apr 2012	Other	6059819

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Michael Joseph Giarla	Beneficiary	1 Jan 2003	75% - 100%	1574118

Based in Durham

The principal office where Smith Breeden Associates Inc performs its advisory services is located at 280 South Mangum Street, Durham, NC 27701 3676, which is also the mailing address of the firm. An additional office of the firm is in Boulder, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 919-967-7221 or by fax 919-945-3523. The normal business hours are 8:30 a.m. - 5:30 p.m. on Monday - Friday. You can find more information about the New York firm at smithbreeden.com.