SMITH BREEDEN ASSOCIATES INC
CRD #104628 SEC #801-17567 DURHAM, NC 919-967-7221
SEC Registered Private Funds
Total AUM
$7.3B
Discretionary
$7.3B
Employees
51
Clients
--
Accounts
33
Firm Details
- Organization Type
- Corporation
- State of Formation
- Kansas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Apr 27, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ PRINCIPAL/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ PRINCIPAL/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ PRINCIPAL/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ EXECUTIVE VICE PRESIDENT/DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ EXECUTIVE VICE PRESIDENT/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ADLER, DANIEL, ROTHSCHILD | I | DIRECTOR/ EXECUTIVE VICE PRESIDENT/ DIRECTOR OF THE INVESTMENT MANAGEMENT GROUP | NA | Control |
| ANTLE, RICKY, LEE | I | DIRECTOR | NA | Control |
| ANTLE, RICKY, LEE | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| APPEL, JOHN, CHRISTOPHER | I | DIRECTOR | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRINCIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| ARGANBRIGHT, AMY, CAROL | I | PRICIPAL/DIRECTOR OF SECURITIES OPERATIONS & TECHNOLOGY | NA | Control |
| BELL, CARL, D. | I | DIRECTOR/PRINCIPAL | NA | |
| BELL, CARL, D. | I | DIRECTOR | NA | |
| BELL, CARL, D. | I | DIRECTOR | NA | |
| BREEDEN, JENNIFER | I | DIRECTOR | NA | Control |
| BREEDEN, JENNIFER | I | DIRECTOR | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| BRENNAN, MICHAEL, JOHN | I | DIRECTOR/CONSULTANT | NA | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | NA | Control |
| HARMELINK, AIMEE, KATHRYN | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER/SECRETARY | NA | Control |
| HARMELINK, AIMEE, KATHRYN | I | CHIEF COMPLIANCE OFFICER/SECRETARY | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | Control |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | |
| JESTER, LEWIS, TURLINGTON | I | DIRECTOR | NA | |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KON, STANLEY, J | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER | NA | Control |
| MEWKILL, MARIANTHE | I | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/CHIEF OPERATING OFFICER/CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER | NA | Control |
| MILLER, JENNIFER, P | I | SENIOR VICE PRESIDENT/MANAGER OF FINANCIAL ANALYSIS AND ACCOUNTING | NA | Control |
| MILLER, JENNIFER, P | I | SENIOR VICE PRESIDENT/ CONTROLLER | NA | Control |
| MILLER, JENNIFER, P | I | SENIOR VICE PRESIDENT/ CONTROLLER | NA | Control |
| MILLER, JENNIFER, P | I | SENIOR VICE PRESIDENT/ CONTROLLER | NA | Control |
| MILLER, JENNIFER, P | I | PRINCIPAL/CHIEF FINANCIAL OFFICER/ASSISTANT SECRETARY | NA | Control |
| MILLER, JENNIFER, P | I | PRINCIPAL/ CONTROLLER | NA | Control |
| MILLER, JENNIFER, P | I | PRINCIPAL/ CONTROLLER | NA | Control |
| ODOHERTY, MARIANNE | I | CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | NA | |
| ODOHERTY, MARIANNE | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER | NA | Control |
| ODOHERTY, MARIANNE | I | CHIEF COMPLIANCE OFFICER | NA | |
| ODOHERTY, MARIANNE | I | CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | NA | |
| ODOHERTY, MARIANNE | I | CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT | NA | |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, EDUARDO, SAUL | I | DIRECTOR/CONSULTANT | NA | Control |
| SCHWARTZ, WILLIAM, E | I | GENERAL COUNSEL/SECRETARY/SENIOR VICE PRESIDENT | NA | |
| SCHWARTZ, WILLIAM, E | I | GENERAL COUNSEL | NA | |
| SCHWARTZ, WILLIAM, E | I | GENERAL COUNSEL/SECRETARY/SENIOR VICE PRESIDENT | NA | |
| SCHWARTZ, WILLIAM, E | I | GENERAL COUNSEL/SECRETARY/SENIOR VICE PRESIDENT | NA | |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/GENERAL COUNSEL/SECRETARY | NA | Control |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/CHIEF COMPLIANCE OFFICER/GENERAL COUNSEL/SECRETARY | NA | Control |
| SCHWARTZ, WILLIAM, ERSKINE | I | PRINCIPAL/GENERAL COUNSEL | NA | Control |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN | C | Control |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN | C | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | B | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | B | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | B | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | B | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | VICE CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | VICE CHAIRMAN | B | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | B | Control |
| MICHAEL J GIARLA REVOCABLE TRUST | DE | SHAREHOLDER | B | |
| ROWE, TIMOTHY | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | B | |
| ROWE, TIMOTHY | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | B | |
| ROWE, TIMOTHY | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | B | |
| ROWE, TIMOTHY | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | B | |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | Control |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | Control |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | Control |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | B | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| BREEDEN, DOUGLAS, TOWER | I | CHAIRMAN EMERITUS | A | |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL | I | EXECUTIVE VICE PRESIDENT/CHIEF INVESTMENT OFFICER | A | Control |
| DEKTAR, DANIEL | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | Control |
| DEKTAR, DANIEL | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | Control |
| DEKTAR, DANIEL | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | Control |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| DEKTAR, DANIEL, C. | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | |
| DEKTAR, DANIEL, C. | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | |
| DEKTAR, DANIEL, C. | I | PRINCIPAL/CHIEF INVESTMENT OFFICER | A | |
| EASON, STEPHEN, ALCUIN | I | EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| EASON, STEPHEN, ALCUIN | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/DIRECTOR OF MARKETING AND CLIENT SERVICE | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | DIRECTOR | A | Control |
| FLOOD, EUGENE | I | DIRECTOR | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| FLOOD, EUGENE | I | SHAREHOLDER | A | |
| FLOOD, EUGENE | I | SHAREHOLDER | A | |
| FLOOD, EUGENE | I | SHAREHOLDER | A | |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| GIARLA, MICHAEL, JOSEPH | I | DIRECTOR/CHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER | A | Control |
| MICHAEL J GIARLA REVOCABLE TRUST | DE | SHAREHOLDER | A | |
| MICHAEL J GIARLA REVOCABLE TRUST | DE | SHAREHOLDER | A | |
| ROWE, TIMOTHY, DURRETT | I | DIRECTOR/PRINCIPAL | A | Control |
| SPROW, JOHN | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | A | |
| SPROW, JOHN | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | A | |
| SPROW, JOHN | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | A | |
| SPROW, JOHN | I | PRINCIPAL - SENIOR PORTFOLIO MANAGER | A | |
| SPROW, JOHN, BARKER | I | DIRECTOR/PRINCIPAL/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
| SPROW, JOHN, BARKER | I | DIRECTOR/EXECUTIVE VICE PRESIDENT/CHIEF RISK OFFICER | A | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| GIARLA, MICHAEL, JOSEPH | I | MICHAEL J. GIARLA REVOCABLE TRUST | E | Control |
| GIARLA, MICHAEL, JOSEPH | I | MICHAEL J. GIARLA REVOCABLE TRUST | E | Control |
| GIARLA, MICHAEL, JOSEPH | I | MICHAEL J. GIARLA REVOCABLE TRUST | E | Control |
Registrations
Federal
IA
Apr 27, 2012 REGISTERED
Notice Filings (12)
CO CT DC DE FL IL MO NC NY PA TX VA
Address
280 SOUTH MANGUM STREETSUITE 301
DURHAM, NC 27701-3676
United States
Phone: 919-967-7221