SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**
CRD #107827 SEC #801-36485 HOUSTON, TX 713-227-1100
SEC Registered
Total AUM
$829.2M
Discretionary
$829.2M
Employees
15
Clients
0
Accounts
37
Firm Details
- Organization Type
- Limited Partnership
- State of Formation
- Texas
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2023
- Branch Offices
- 1
- LEI
- 254900NOUOKVJN16D953
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| DUBE, MARK, WELDON | I | CHIEF COMPLIANCE OFFICER | NA | |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HEINE, PETER, ANDREW | I | MANAGING DIRECTOR, HEAD OF FIXED INCOME | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF OPERATING OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| HOUSE, JAMIE, GARLAND | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| NEWSOME, LORENZO | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER - FIXED INCOME | NA | |
| NEWSOME, LORENZO | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER - FIXED INCOME | NA | |
| NEWSOME, LORENZO | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER - FIXED INCOME | NA | |
| NEWSOME, LORENZO | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER - FIXED INCOME | NA | |
| NEWSOME, LORENZO | I | MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER - FIXED INCOME | NA | |
| NORTON, ROBERT, WILLIAM | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROBERSON, MARGARET, VELMA | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| ROBERSON, MARGARET, VELMA | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| ROBERSON, MARGARET, VELMA | I | CHIEF ADMINISTRATIVE OFFICER | NA | |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SGC ADVISORS, INC. (FORMERLY SMITH GRAHAM HOUSE & CO.) | DE | GENERAL PARTNER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHAIRMAN | NA | Control |
| SMITH, GERALD, BERNARD | I | CHIEF EXECUTIVE OFFICER | NA | Control |
| SMITH, GERALD, BERNARD | I | CHAIRMAN | NA | Control |
| SMITH, GERALD, BERNARD | I | CHAIRMAN | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR OF FIXED INCOME | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR OF FIXED INCOME | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| THECCANAT, CYRIL, MATHEW | I | CHIEF INVESTMENT OFFICER | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| TORTORELLA, BRIAN, J | I | MANAGING DIRECTOR, HEAD OF MORTGAGE AND REAL ESTATE DEBT | NA | Control |
| VISHWAKARMA, ANUPAMA, RAJESH | I | CHIEF FINANCIAL OFFICER | NA | |
| VISHWAKARMA, ANUPAMA, RAJESH | I | CHIEF FINANCIAL OFFICER | NA | |
| VISHWAKARMA, ANUPAMA, RAJESH | I | CHIEF FINANCIAL OFFICER | NA | |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| WILSON, DONNA, SIMS | I | PRESIDENT | NA | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SMITH GRAHAM & CO. ("SG")*A DELEWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SMITH GRAHAM & CO. ("SG")*A DELEWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SMITH GRAHAM & CO. ("SG")*A DELEWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | E | Control |
| SMITH, GERALD, BERNARD | I | SHAREHOLDER OF SG | E | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | D | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | D | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | D | Control |
| SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | DE | LIMITED PARTNER | D | Control |
| HOUSE, JAMIE, GARLAND | I | SHAREHOLDER OF SG | B | Control |
| JOHNSON, RONALD, AUGUSTA | I | SHAREHOLDER OF SG | B | Control |
| PROGRESS-LOVELL MINNICK VENTURES, LLC | DE | LIMITED PARTNER | B | |
| PROGRESS-LOVELL MINNICK VENTURES, LLC | DE | LIMITED PARTNER | B | |
| PROGRESS-PUTNAM LOVELL ADVISORS LLC | DE | LIMITED PARTNER | B |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| HOUSE, JAMIE, GARLAND | I | SG | F | Control |
| HOUSE, JAMIE, GARLAND | I | SG | F | Control |
| HOUSE, JAMIE, GARLAND | I | SG | F | Control |
| HOUSE, JAMIE, GARLAND | I | SG | F | Control |
| JOHNSON, RONALD, AUGUSTA | I | SG | F | Control |
| JOHNSON, RONALD, AUGUSTA | I | SG | F | Control |
| JOHNSON, RONALD, AUGUSTA | I | SG | F | Control |
| SMITH, GERALD, BERNARD | I | SG | E | Control |
| SMITH, GERALD, BERNARD | I | SG | E | Control |
| SMITH, GERALD, BERNARD | I | SG | E | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SG | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
| SMITH, GERALD, BERNARD | I | SGC VENTURES, INC. A DELAWARE CORPORATION AND SUCCESSOR BY MERGER TO SMITH GRAHAM & CO., A TEXAS CORPORATION | D | Control |
Registrations
Federal
IA
Mar 30, 2023 REGISTERED
Notice Filings (4)
FL NY PA TX
Address
717 TEXAS AVENUEHOUSTON, TX 77002
United States
Phone: 713-227-1100