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Overview

Articles

Insights

There are no insights from this firm to display at this time.

Assets

Assets

Last updated on June 12, 2019
    • $1.9B
      Total Assets Under Management
    • N/A
      Total Assets Under Advisement
    • 149
      Accounts
    • $12.6M
      Estimated Average Account Balance

Services

Firm Services

There is no Services data available to display at this time.

Firm Client types

There is no client type data to display at this time.

Advisors

Current Advisors

# of advisors

1

name start date
Thomas Joseph Winters
July 2015

    Leadership

    Ownership

    There is no ownership data available to display at this time.

    Executives and Control Persons

    Name Title Tenure Date % Ownership
    Maria Smith Chief Executive Officer\Chief Compliance Officer\Shareholder January, 2012 50% to 75%
    Matthew J. Smith Co-President \ Shareholder April, 1995 10% to 25%
    Jiang Peng Co-President \ Chief Investment Officer \ Shareholder January, 2012 10% to 25%
    Paul Matus Vice President - Portfolio Manager August, 2004 less than 5%
    Jerry Allan Miller Vice President Taxable Investments June, 2013 less than 5%
    Erwin Defensor Tonogbanua Vice President \ Portfolio Manager January, 2012 less than 5%
    Robert G Smith Chairman Emeritus\ Chief Economist January, 2016 less than 5%
    Joseph Conor Lyons Portfolio Manager January, 2016 less than 5%
      Source: SEC

      Fees

      Types of Compensation Arrangements

      • Percentage Of Assets