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Kristopher Ryan Smith

O'SHaughnessy Asset Management, LLC

Stamford, CT

CRD 4347963

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Employer firm

O'sHaughnessy Asset Management, LLC CRD 144594

$19.8B regulatory AUM 1,369 advisory clients

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)

From the firm’s Form ADV. Read the guides:

Current Employers
O'SHaughnessy Asset Management, Llc

100 First Stamford Place, Stamford, CT 06902 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-07-14
  • CT RA
    APPROVED
    Since 2022-07-14

Branch Locations

100 First Stamford Place, Stamford, CT 06902 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
O'SHaughnessy Asset Management, Llc Stamford CT 06/2022 Present
Franklin Templeton Charlotte NC 08/2020 Present
Legg Mason Charlotte NC 01/2015 08/2020
Franklin Managed Options Strategies Llc Westport CT 03/2023 Present
  • 06/2022 → Present
    O'SHaughnessy Asset Management, Llc
    Stamford, CT
  • 08/2020 → Present
    Franklin Templeton
    Charlotte, NC
  • 01/2015 → 08/2020
    Legg Mason
    Charlotte, NC
  • 03/2023 → Present
    Franklin Managed Options Strategies Llc
    Westport, CT
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-05-03
  • S63 Uniform Securities Agent State Law Examination
    2001-05-03
Designations
  • Chartered Financial Analyst

View on SEC IAPD

Nearby Firms

COUNTERPOINTE INVESTMENT MANAGEMENT LLC
K2/D&S MANAGEMENT CO., L.L.C.
LONGRANGE CAPITAL, L.P.

Nearby Investors

CLAUDINE ANTOINETTE SPENCE
RONALD JOHN SCHULER
PAUL JON ACKERLEY

Nearby Offices

COUNTERPOINTE INVESTMENT MANAGEMENT LLC · STAMFORD, CT
K2/D&S MANAGEMENT CO., L.L.C. · STAMFORD, CT
LONGRANGE CAPITAL, L.P. · STAMFORD, CT

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