9AT: SMP ASSET MANAGEMENT, LLC

other names

SMP ASSET MANAGEMENT, LLC

Adviser Profile

As of Date	03/28/2025
ADV Location	LARCHMONT, NY, United States
Adviser Type - Large advisory firm
Number of Employees	2 -33%
of those in investment advisory functions	1 -50%
Registration	SEC, Approved, 05/04/2021
Other registrations (1)	SEC, ERA - Withdrawn, 03/31/2021
Former registrations	SMP ASSET MANAGEMENT, LLC

AUM^*	280,447,905 38%
of that, discretionary	280,447,905 38%
Private Fund GAV^*	216,565,892 36%
Avg Account Size	140,223,953 38%
SMA’s	Yes
Private Funds	1
Contact Info	914 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count1	GAV$216,565,892

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser QUANTITATIVE VALUE TECHNOLOGIES	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM172.6m	#Funds-
Adviser EVERGREEN CAPITAL ASSOCIATES LLC	Hedge Fund222.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV222.7m	AUM229.0m	#Funds8
Adviser WINDSAIL CAPITAL GROUP, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM196.3m	#Funds-
Adviser BLACK MAPLE CAPITAL MANAGEMENT LP	Hedge Fund144.9m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV144.9m	AUM298.3m	#Funds4
Adviser URSA FUND MANAGEMENT LLC	Hedge Fund606.7m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV606.7m	AUM633.6m	#Funds1
Adviser BRIZO CAPITAL, LP	Hedge Fund136.1m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV136.1m	AUM240.6m	#Funds1
Adviser ALVENTO CAPITAL PARTNERS LLP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM202.3m	#Funds-
Adviser BARCA CAPITAL, LLC	Hedge Fund301.3m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV301.3m	AUM324.5m	#Funds2
Adviser WESTERLY CAPITAL MANAGEMENT LLC	Hedge Fund288.0m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV288.0m	AUM288.0m	#Funds2
Adviser SPRINGHOUSE CAPITAL MANAGEMENT, LP	Hedge Fund167.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV167.6m	AUM167.6m	#Funds1

Brochure Summary

Overview

SMP has been an investment adviser since 2002. Lawrence J. Goldstein is the sole member of the Company. SMP serves as the general partner of Santa Monica Partners, L.P. (the “Fund”), a private investment limited partnership, and has responsibility for all investment advisory decisions for the Fund. SMP makes all investment decisions for the Fund and executes discretionary trades for the Fund’s account. The primary objective of the Fund is capital appreciation. The Fund seeks to invest in corporations whose securities are believed by the Company to represent unusual opportunity for appreciation and which the Company believes has been overlooked and/or ignored by otherwise intelligent investors. In ascertaining and selecting securities for investment by the Fund, SMP applies accepted methods and standards of fundamental research. There are no restrictions regarding

the type or number of securities or any other investments which the Fund can make. Before making any investment, SMP strives to perform an exhaustive fundamental analysis and appraise the value of each company component, evaluating a company’s industry, financial position, competition, suppliers, customers, management, and opportunities. SMP regularly speaks with management and directors and speaks frequently with customers, suppliers, distributors, competitors, and employees. SMP seeks to understand the wants, needs, aims, goals, desires, and ethical standards of the company’s leader, in whose image the company is usually created. This understanding enables SMP to be comfortable holding investments during turbulent times and setbacks without questioning its beliefs. As of December 31, 2023, SMP managed $159,448,088 on a discretionary basis on behalf of the Fund.

SMP ASSET MANAGEMENT, LLC

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