Smith Graham & Co Investment Advisors, L.P.** (Houston)

Name: Smith Graham & Co Investment Advisors, L.P.**
Address: 6900 Jpmorgan Chase Tower, Houston, TX, 77002
Telephone: 713-227-1100

Smith Graham & Co Investment Advisors, L.P.** is a large advisory firm based in Houston. It manages $6.07 billion of regulatory assets for 99 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of New York, Pennsylvania, and Texas.

Smith Graham & Co Investment Advisors, L.P.** provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. 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 Graham & Co Investment Advisors, L.P.**: assets under management

The assets under management (AUM) of Smith Graham & Co Investment Advisors, L.P.** is $6.07 billion. The firm's AUM has grown by 197% since the beginning of its operation, and $50.74 million of the total AUM is attributable to clients outside of the United States.

The firm manages $6.07 billion in discretionary accounts and $77.94 thousand in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $61.93 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $77.94 thousand.

Investments

The firm invests in government bonds the most. They account for 30% of the total AUM. The second-largest asset type is other assets, which make up 26% of the firm’s portfolio. Investments in investment grade corporate bonds form 20% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Smith Graham & Co Investment Advisors, L.P.** for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Donna Sims Wilson serves?

The firm provides services to charitable organizations, pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Donna Sims Wilson is state or municipal government entities with 21 clients and $2.28 billion of assets under management. Among the 9 most similar advisory firms, Smith Graham & Co Investment Advisors, L.P.** has the highest percentage of state or municipal government entities out of all clients.

The amount of regulatory assets under management is $6 billion for 61 clients. None of the firm’s clients are foreign persons or businesses.

Smith Graham & Co Investment Advisors, L.P.** also advises several private funds. Namely, five real estate funds.

Careers at Smith Graham & Co Investment Advisors, L.P.**

The company employs 40 people that are either part- or full-time employees. 45 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Donna Sims Wilson has been acting as President since 1 Oct 2014. Cyril Mathew Theccanat has served as the Chief Investment Officer since 1 Mar 2009. Brian J Tortorella joined the executive team most recently as the Managing Director, Head Of Mortgage And Real Estate Debt.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jamie Garland House	Shareholder of sg	1 Mar 1990	Other	4347960
Smith Graham & Co. ("Sgc")	General partner	1 Mar 1990	50% - 75%	76-0303553
Gerald Bernard Smith	Shareholder of sg	1 Mar 1990	25% - 50%	500814
Jamie Garland House	Chief operating officer	1 Dec 1992	Other	4347960
Inc. (Formerly Smith Graham House & Co.) Sgc Advisors	General partner	1 May 1996	Other	76-0505188
Smith Graham House & Co.	Limited partner	1 May 1996	Other	76-0505188
Inc. (Robeco) Robeco Texas	General and limited partner	1 May 1996	25% - 50%	00-0000000
Calvin Gabriel Hayes	Director	1 Apr 1999	Other	4348600
Ronald Augusta Johnson	Shareholder of sg	1 Oct 1999	Other	2655097
Inc. A Delaware Corporation And Successor By Merger To Smith Graham & Co. A Texas Corporation Sgc Ventures	Limited partner	1 May 2001	75% - 100%	76-0675166
A Texas Corporation Smith Graham & Co. ("Sg")*A Deleware Corporation And Successor By Merger To Smith Graham & Co.	Limited partner	1 May 2001	75% - 100%	76-0675166
A Texas Corporation Smith Graham & Co. ("Sg")*A Delaware Corporation And Successor By Merger To Smith Graham & Co.	Limited partner	1 May 2001	75% - 100%	76-0675166
Progress Putnam Lovell Advisors Llc	Limited partner	1 Oct 2002	Other	95-4802260
Llc Progress Lovell Minnick Ventures	Limited partner	1 Oct 2002	Other	95-4802260
Cyril Mathew Theccanat	Executive vice president, managing director of fixed income	1 Aug 2004	Other	1816739
Von Devanthini Celestine	Chief compliance officer	1 Sep 2004	Other	4865083
Jeffrey Phelps	Executive vice president	1 Jan 2006	Other	2907826
Jamie Garland House	Chief compliance officer	1 Oct 2006	Other	4347960
Cyril Mathew Theccanat	Chief investment officer	1 Mar 2009	Other	1816739
Robert William Norton	Executive vice president	1 Mar 2009	Other	2135740
Mark Weldon Dube	Chief compliance officer	1 Feb 2013	Other	2712800
Peter Andrew Heine	Managing director, head of fixed income	1 Jun 2014	Other	2326104
Donna Sims Wilson	President	1 Oct 2014	Other	1673659
Brian J Tortorella	Managing director, head of mortgage and real estate debt	1 Mar 2017	Other	4542378

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Gerald Bernard Smith	Shareholder in sg	1 Jul 1990	50% - 75%	500814
Inc. ("Us") Robeco Us Holdings	Shareholder of robeco	1 May 1996	25% - 50%	00-0000000
Robeco International B.V. ("Ram")	Shareholder of us	1 Feb 1997	25% - 50%	00-0000000
Robeco Groep N.V. ("Rgn")	Shareholder of ram	1 Feb 1997	25% - 50%	00-0000000
Rabobank Nederland	Shareholder in ram	1 Feb 1997	25% - 50%	00-0000000

Based in Houston

The principal office where Smith Graham & Co Investment Advisors, L.P.** performs its advisory services is located at 6900 Jpmorgan Chase Tower, Houston, TX 77002, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 713-227-1100 or by fax 713-227-0912. The normal business hours are 8:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at smithgraham.com.