SMITH, SALLEY & ASSOCIATES

HTTP://WWW.SMITH-SALLEY.COM GREENSBORO, NC Investment Advisor How do I update this listing?

Smith, Salley & Associates is based out of Greensboro. Smith, Salley & Associates is a large advisory firm with 448 clients and discretionary assets under management (AUM) of $1,377,889,908 (Form ADV from 2019-07-08). Their last reported 13F filing for Q3 2019 included $703,687,000 in managed 13F securities and a top 10 holdings concentration of 27.08%. Smith, Salley & Associates's largest holding is Microsoft Corp. with shares held of 217,301. Smith, Salley & Associates has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 40 13F filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $703.687 Million
  • Prior Market Value $663.277 Million
  • New Purchases10 stocks
  • Additional Purchases108 stocks
  • Sold out of11 stocks
  • Reduced holdings in44 stocks
  • Top 10 Holdings % 27.08 %
  • Turnover % [1]:11.11%
  • Turnover Alt % [2]: 5.44 %
  • Time Held Top20:13.35 quarters
  • Time Held Top10:9.60 quarters
  • Time Held All:15.97 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.5%
Performance Last 4 Quarters: 1.88%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
AMERICAN NATIONAL BANK TRUST CO /VA/

View Last Form Adv Compilation Report on Record

SMITH, SALLEY & ASSOCIATES, LLC
324 WEST WENDOVER AVENUE SUITE 301
GREENSBORO NC    27408
Country: United States

Business Phone: 336-379-7556
Fax: 336-379-8606
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: NC
Number of employees: 14
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities: 657,992,000
Total Number of Clients: 448
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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SMITH, SALLEY & ASSOCIATES, LLC

ownership team - last updated 2019-07-08
Name Title Start Date Direct/Indirect % Ownership
BATCHELOR, EDMUND, SCOTT MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
SMITH, GEORGE, GREGORY MANAGING MEMBER/CHIEF EXECUTIVE OFFICER 11/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2003-11-01
SALLEY, GEORGE, MACKAY MEMBER/CHAIRMAN 12/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHAIRMAN direct 2003-12-01
FRANKLIN STREET ADVISORS INC. VICE PRESIDENT direct 1993-06-01 2003-03-21
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-12-01 2005-03-03
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2013-05-21
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2016-07-07
DAVIS, ANDREW, DOUGLAS MEMBER/CHIEF INVESTMENT OFFICER 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2007-03-01
AGNEW, JAMES, SULLIVAN MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
MAY, HUGO, BRIAN CHIEF COMPLIANCE OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-08-01
JONATHAN SMITH & CO. INVESTMENT COUNSEL CHIEF OPERATIONS OFFICER direct 2001-01-01 2002-01-02
JONATHAN SMITH & CO. INVESTMENT COUNSEL PARTNER direct 2003-01-01 2003-03-28
JONATHAN SMITH & CO. INVESTMENT CO. LLC. PARTNER COO direct 2003-01-01 2005-03-30
JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC PARTNER, SENIOR PORTFOLIO MANAGER direct 2003-01-01 2008-03-19
DONOVAN, WILLIAM, ANDREW MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01
GUYLER, JAMES, BLAKE MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01

SMITH, SALLEY & ASSOCIATES, LLC

ownership team - last updated 2019-06-11
Name Title Start Date Direct/Indirect % Ownership
SMITH, GEORGE, GREGORY MANAGING MEMBER/CHIEF EXECUTIVE OFFICER 11/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2003-11-01
SALLEY, GEORGE, MACKAY MEMBER/CHAIRMAN 12/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHAIRMAN direct 2003-12-01
FRANKLIN STREET ADVISORS INC. VICE PRESIDENT direct 1993-06-01 2003-03-21
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-12-01 2005-03-03
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2013-05-21
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2016-07-07
DAVIS, ANDREW, DOUGLAS MEMBER/CHIEF INVESTMENT OFFICER 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2007-03-01
BATCHELOR, EDMUND, SCOTT MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
AGNEW, JAMES, SULLIVAN MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
MAY, HUGO, BRIAN CHIEF COMPLIANCE OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-08-01
JONATHAN SMITH & CO. INVESTMENT COUNSEL CHIEF OPERATIONS OFFICER direct 2001-01-01 2002-01-02
JONATHAN SMITH & CO. INVESTMENT COUNSEL PARTNER direct 2003-01-01 2003-03-28
JONATHAN SMITH & CO. INVESTMENT CO. LLC. PARTNER COO direct 2003-01-01 2005-03-30
JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC PARTNER, SENIOR PORTFOLIO MANAGER direct 2003-01-01 2008-03-19
DONOVAN, WILLIAM, ANDREW MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01
GUYLER, JAMES, BLAKE MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01

SMITH, SALLEY & ASSOCIATES, LLC

ownership team - last updated 2019-02-11
Name Title Start Date Direct/Indirect % Ownership
SMITH, GEORGE, GREGORY MANAGING MEMBER/CHIEF EXECUTIVE OFFICER 11/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2003-11-01
SALLEY, GEORGE, MACKAY MEMBER/CHAIRMAN 12/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHAIRMAN direct 2003-12-01
FRANKLIN STREET ADVISORS INC. VICE PRESIDENT direct 1993-06-01 2003-03-21
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-12-01 2005-03-03
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2013-05-21
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2016-07-07
DAVIS, ANDREW, DOUGLAS MEMBER/CHIEF INVESTMENT OFFICER 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2007-03-01
BATCHELOR, EDMUND, SCOTT MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
AGNEW, JAMES, SULLIVAN MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
MAY, HUGO, BRIAN CHIEF COMPLIANCE OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-08-01
JONATHAN SMITH & CO. INVESTMENT COUNSEL CHIEF OPERATIONS OFFICER direct 2001-01-01 2002-01-02
JONATHAN SMITH & CO. INVESTMENT COUNSEL PARTNER direct 2003-01-01 2003-03-28
JONATHAN SMITH & CO. INVESTMENT CO. LLC. PARTNER COO direct 2003-01-01 2005-03-30
JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC PARTNER, SENIOR PORTFOLIO MANAGER direct 2003-01-01 2008-03-19
DONOVAN, WILLIAM, ANDREW MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01
GUYLER, JAMES, BLAKE MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01

SMITH, SALLEY & ASSOCIATES, LLC

ownership team - last updated 2018-06-11
Name Title Start Date Direct/Indirect % Ownership
SMITH, GEORGE, GREGORY MANAGING MEMBER/CHIEF EXECUTIVE OFFICER 11/01/2003 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF EXECUTIVE OFFICER direct 2003-11-01
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF COMPLIANCE OFFICER direct 2003-11-01
SALLEY, GEORGE, MACKAY MEMBER/CHAIRMAN 12/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHAIRMAN direct 2003-12-01
FRANKLIN STREET ADVISORS INC. VICE PRESIDENT direct 1993-06-01 2003-03-21
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER direct 2003-12-01 2005-03-03
SMITH, SALLEY & ASSOCIATES, LLC MANAGING MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2013-05-21
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2003-12-01 2016-07-07
DAVIS, ANDREW, DOUGLAS MEMBER/CHIEF INVESTMENT OFFICER 03/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF COMPLIANCE OFFICER direct 2007-03-01
SMITH, SALLEY & ASSOCIATES, LLC MEMBER/CHIEF INVESTMENT OFFICER direct 2007-03-01
BATCHELOR, EDMUND, SCOTT MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
AGNEW, JAMES, SULLIVAN MEMBER 04/01/2007 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2007-04-01
MAY, HUGO, BRIAN CHIEF COMPLIANCE OFFICER 08/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC CHIEF COMPLIANCE OFFICER direct 2016-08-01
JONATHAN SMITH & CO. INVESTMENT COUNSEL CHIEF OPERATIONS OFFICER direct 2001-01-01 2002-01-02
JONATHAN SMITH & CO. INVESTMENT COUNSEL PARTNER direct 2003-01-01 2003-03-28
JONATHAN SMITH & CO. INVESTMENT CO. LLC. PARTNER COO direct 2003-01-01 2005-03-30
JONATHAN SMITH & CO. INVESTMENT COUNSEL LLC PARTNER, SENIOR PORTFOLIO MANAGER direct 2003-01-01 2008-03-19
DONOVAN, WILLIAM, ANDREW MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01
GUYLER, JAMES, BLAKE MEMBER 10/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
SMITH, SALLEY & ASSOCIATES, LLC MEMBER direct 2016-10-01

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