SMITH, GRAHAM & CO. INVESTMENT ADVISORS, L.P.
AFFIRMATIVE ACTION 2011
% % Population
Minorities Women Size
Senior Management 63% 25% 8
Professional/Technical 45% 23% 22
Clerical 100% 100% 4
Smith, Graham & Co. Investment Advisors, L.P. is a minority owned firm and is engaged
in equal employment opportunities. This practice is reflected in the diversity of our
employees. We have a strong commitment to promoting minorities and women; and 56%
of our total staff is minority and/or women. Our affirmative action practices and
programs do involve seeking qualified candidates regardless of age, race, color, national
origin, disability, military status, or status as a Vietnam-era special disabled veteran in
accordance with applicable federal and state laws, religion, sex, sexual orientation, or
ethnic origin when positions become available. We also believe that it is not enough to
qualify as a minority firm and to have internal affirmative action guidelines in place. We
believe that our own purchasing of goods and services should reflect the goal of full
participation by minority firms. This can be evidenced by the fact that minority and/or
women-owned firms or professionals actively participate in trade execution with the firm.
We have also employed minority owned firms or professionals to serve in the capacity of
legal counsel, Certified Public Accountants and insurance brokers, as well as other
vendors and suppliers.
Notable affirmative action efforts in the past year
Smith Graham is a proponent internally and externally of affirmative action. To that end,
Smith Graham is involved in the communities where we do business. We actively
participate in internship and scholarship programs within our firm as well as externally,
with area universities such as Texas Southern University. Gerald Smith, our Chairman
and CEO, currently chairs the Texas Southern University Foundation Board. In 1998,
Texas Southern University established the Gerald B. Smith Center for Entrepreneurship
and Executive Development within the Jesse H. Jones School of Business. The purpose
of the Center is to provide students with the expertise and experience they will need to
thrive within their own business or corporate setting. The firm is committed to annual
contributions to the Center. In addition, Smith Graham supports the United Negro
College Fund (UNCF), of which our Executive Vice President and COO, Jamie House,
served as Chairman of the Board of the Houston Advisory Council.
Smith Graham is a member of the National Association of Securities Professionals’
(NASP) and Gerald Smith serves as Treasurer of the Board of Directors. The firm
sponsored their 2011 conference with a contribution of $15,000 this year. Mr. Smith is
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