9AT: SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**

Adviser Profile

As of Date	03/03/2024
Registration status	Terminated
ADV Location	HOUSTON, TX, United States
Contact Info	713 xxxxxxx
Websites

AUM^*	829,209,001 -4%
of that, discretionary	829,209,001 -4%
Number of Employees	15 -12%
of those in investment advisory functions	5
Private Fund GAV^*	0
Avg Account Size	22,411,054 22%
SMA’s	Yes
Private Funds	0

Adviser Type

- Large advisory firm

Client Types

- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Corporations or other businesses not listed above

Advisory Activities

- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management

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 PROFUND ADVISORS LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM5.2b	#Funds-
Adviser INNOVATIVE CAPITAL ADVISORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM619.5m	#Funds-
Adviser GUINNESS ATKINSON ASSET MANAGEMENT, INC.	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM344.4m	#Funds-
Adviser HAVEN GLOBAL PARTNERS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund32.0m	Total Private Fund GAV32.0m	AUM1.4b	#Funds1
Adviser BUILD ASSET MANAGEMENT	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund30.8m	Total Private Fund GAV30.8m	AUM64.6m	#Funds1
Adviser JACOB ASSET MANAGEMENT OF NEW YORK LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM84.1m	#Funds-
Adviser GMS GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM19.8m	#Funds-
Adviser GUGGENHEIM FUNDS DISTRIBUTORS, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM7.8b	#Funds-
Adviser COLUMBIA CAPITAL MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM2.1b	#Funds-
Adviser MORETON ASSET MANAGEMENT, LLC	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM4.7b	#Funds-

Stock Ticker	Stock Name	$ Position	% Position	$ Change	# Change
Stck Ticker536797103	Stock NameLITHIA MTRS INC	$ Position$13,581,154	% Position2.00%	$ Change	# Change
Stck Ticker50060P106	Stock NameKOPPERS HOLDINGS INC	$ Position$15,095,763	% Position2.00%	$ Change	# Change
Stck Ticker428567101	Stock NameHIBBETT INC	$ Position$15,078,899	% Position2.00%	$ Change	# Change
Stck Ticker398905109	Stock NameGROUP 1 AUTOMOTIVE INC	$ Position$13,628,887	% Position2.00%	$ Change	# Change
Stck Ticker398433102	Stock NameGRIFFON CORP	$ Position$14,393,099	% Position2.00%	$ Change	# Change
Stck Ticker267475101	Stock NameDYCOM INDS INC	$ Position$14,773,873	% Position2.00%	$ Change	# Change
Stck Ticker205768302	Stock NameCOMSTOCK RES INC	$ Position$6,698,901	% Position1.00%	$ Change	# Change
Stck Ticker18482P103	Stock NameCLEARFIELD INC	$ Position$5,148,236	% Position1.00%	$ Change	# Change
Stck Ticker172755100	Stock NameCIRRUS LOGIC INC	$ Position$8,477,893	% Position1.00%	$ Change	# Change
Stck Ticker168905107	Stock NameCHILDRENS PL INC NEW	$ Position$4,371,908	% Position1.00%	$ Change	# Change

Brochure Summary

Overview

Smith Graham is an investment advisor registered with the SEC. We were established in 1990 in Houston, Texas, our headquarters. We also have a fully functional office in New York, New York. Smith Graham is an employee-owned limited partnership. Gerald Smith, Co-founder and Chairman, and the Smith Family Trusts own approximately 89% of the firm. We have 15 employees, including 5 investment professionals. Smith Graham provides investment advisory services to Managed Accounts investing in its equity products. Managed Accounts are generally referred to as “Clients”. As of February 28, 2023, Smith Graham actively managed approximately $829 million on a discretionary basis for our clients. PRODUCTS Smith Graham provides institutional investment management services on a discretionary basis to Managed Accounts for investors which may include pension and profit-sharing plans, corporations, state or municipal government entities, trusts, endowments, charitable organizations, and other business entities. These Managed Accounts have the ability

to invest in any or all our investment strategies. The equity investment philosophy reflects our belief that attractive returns can be achieved over a full market cycle by combining a systematic quantitative approach with traditional fundamental analysis. This philosophy is applied to three strategies: Small Cap Value, Midcap Value and SMID (Small/Mid) Cap Value within the universe of U.S. stocks and each strategy’s applicable capitalization range. CLIENT TAILORED SERVICES AND RESTRICTIONS We invest a Managed Account’s assets based on an allocation fitting the account’s risk tolerance and in compliance with its investment objectives and guidelines. Managed Account investors are expected to provide guidelines for their selected investment strategy and have the option to impose investment restrictions on certain securities or types of securities. 5 | P a g e

SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.

SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

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SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.** SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.**

Adviser Profile

Details

Adviser Type

Client Types

Advisory Activities

Compensation Arrangments

Reported AUM

Private Funds

Employees

Similar advisers

Top Holdings

Brochure Summary

Overview

SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.

SMITH GRAHAM & CO INVESTMENT ADVISORS, L.P.