{
  "crd_number": 108982,
  "slug": "asset-management-one-usa-inc-new-york-ny-108982",
  "primary_business_name": "ASSET MANAGEMENT ONE USA INC.",
  "legal_name": "ASSET MANAGEMENT ONE USA INC.",
  "dbas": [],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1997-10-03",
  "years_registered": 28,
  "period": "2026-10-01",
  "filing_date": "2026-05-29",
  "carried_forward": false,
  "raum_total": 2895930826.0,
  "raum_discretionary": 2895930826.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "1b_5b",
  "raum_band_label": "$1 billion to $5 billion",
  "total_employees": 32,
  "advisory_employees": 18,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "insurance_companies": {
      "raum": 2251774956.0,
      "count": 1,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 453352603.0,
      "count": 1,
      "fewer_than_5": true
    },
    "pooled_investment_vehicles": {
      "raum": 190803267.0,
      "count": 5
    }
  },
  "compensation_types": [
    "hourly",
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 3,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://am-one-usa.com",
    "https://linkedin.com/company/104555494"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108982",
  "disclosure_items": [
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/asset-management-one-usa-inc-new-york-ny-108982",
  "display_name": "Asset Management One USA Inc.",
  "summary": "Asset Management One USA Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1997, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 29, 2026.",
  "citation": "AdvisorCensus. Asset Management One USA Inc. (CRD 108982): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Hourly charges",
    "Other"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is Asset Management One USA Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Asset Management One USA Inc. reports these compensation arrangements: a percentage of assets under its management; hourly charges; other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Asset Management One USA Inc. located?",
      "a": "Asset Management One USA Inc.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Asset Management One USA Inc. registered with the SEC or a state?",
      "a": "Asset Management One USA Inc. is an SEC-registered investment advisory firm, registered since 1997. Status as filed: Approved. CRD 108982."
    },
    {
      "q": "How much does Asset Management One USA Inc. manage?",
      "a": "Asset Management One USA Inc. reports $2,895,930,826 in regulatory assets under management in its Form ADV filing dated May 29, 2026 (100% discretionary)."
    },
    {
      "q": "How have Asset Management One USA Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Asset Management One USA Inc.: Regulatory assets under management: $9,519,547,471 in the October 2021 data and $2,895,930,826 in the October 2026 data, down 70%. Total employees: 52 in October 2021 and 32 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Asset Management One USA Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (5); other investment advisers (1); insurance companies (1)."
    },
    {
      "q": "Which custodians does Asset Management One USA Inc. use?",
      "a": "Asset Management One USA Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Mufg Alternative Fund Services (Cayman) Limited as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Asset Management One USA Inc. report any disciplinary disclosures?",
      "a": "Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.D(4) (another regulator's order in the past ten years), 11.H(1)(b) (court finding of a violation), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/108982"
    },
    {
      "q": "What changed in Asset Management One USA Inc.'s recent Form ADV filings?",
      "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 9519547471.0,
      "total_employees": 52,
      "filing_date": "2021-04-29"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 7054614647.0,
      "total_employees": 50,
      "filing_date": "2022-07-19"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 6433475692.0,
      "total_employees": 54,
      "filing_date": "2023-09-26"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 7448265022.0,
      "total_employees": 51,
      "filing_date": "2024-04-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 7299415681.0,
      "total_employees": 43,
      "filing_date": "2025-04-29"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 2895930826.0,
      "total_employees": 32,
      "filing_date": "2026-05-29"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-05-01",
      "period_label": "May 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 25 to 18.",
        "Regulatory assets under management went from $7,299,415,681 to $2,895,930,826 (-60%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "No longer registered or notice-filed in CA."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "Mufg Alternative Fund Services (Cayman) Limited",
      "name_as_filed": "MUFG ALTERNATIVE FUND SERVICES (CAYMAN) LIMITED",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/asset-management-one-usa-inc-new-york-ny-108982.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 5,
      "fewer_than_5": false,
      "raum": 190803267.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 1,
      "fewer_than_5": true,
      "raum": 453352603.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 1,
      "fewer_than_5": true,
      "raum": 2251774956.0
    }
  ],
  "disclosure_line": "Reports 3 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/108982",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}