SMA CAPITAL LLC

RIASEC RegisteredEst. 2025

Total AUM

$553M

Discretionary

$553M

100% of AUM

Avg account

$111M

Accounts

5

Employees

9

Advisory reps

2

Firm details

Headquarters: New York, New York
CRD number: 335168
Registered since: March 31, 2025
Custodians: GOLDMAN SACHS & CO. LLC, MORGAN STANLEY & CO. LLC, BARCLAYS BANK PLC
Fee structure: Percentage of AUM, Performance Based Fees
Client types: Pooled Investment Vehicles100%
Services: Portfolio Management for Institutional Clients

Firm profile

FINTRX

Overview

SMA Capital LLC is a privately held limited liability company that provides portfolio management services to institutional clients. The firm is SEC-registered (registration noted in 2025) and is organized under individual ownership. Its client focus is institutional rather than retail, and its compensation combines a percentage-of-AUM fee with performance-based fees. SMA Capital’s advisory activity is described principally as portfolio management for businesses or institutions. The firm is not characterized as an active ESG investor, is not identified as a multi-state adviser, and does not position itself as a capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Read the full firm profile in FINTRX →

Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

2 of 2

PHILIP HARRIS
Founder & CEOCRD 1891008
JESSE YORIO
CROCRD 3093839

Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 1

Active vs passive

$2.9M in ETFs

Passive

100%

$2.9M

Active

0%

$0

ETF	Provider	Style	Category	Value	Shares	% of portfolio
PROSHARES TRUST VIX SHORT-TERM FUTURES (VIXY)	ProShares	Passive	Trading Miscellaneous	$2.9M	84,105	100.00%

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area: New York-Newark, NY-NJ-CT-PA
Region: Northeast
County: NEW YORK
Address: 825 3rd Ave
Time zone: ET (UTC-5)
Office locations

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