{ "crd_number": 113359, "slug": "bear-stearns-asset-management-inc-new-york-ny-113359", "primary_business_name": "BEAR STEARNS ASSET MANAGEMENT INC.", "legal_name": "BEAR STEARNS ASSET MANAGEMENT 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": "1987-06-18", "years_registered": 39, "period": "2026-10-01", "filing_date": "2026-03-31", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": 5, "advisory_employees": 1, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 0.0, "count": 1 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 8, "states_registered": [], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/113359", "disclosure_items": [ { "item": "11.A(1)", "question": "In the past ten years, has the firm or an advisory affiliate been convicted of, or pleaded guilty or no contest to, a felony?" }, { "item": "11.A(2)", "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?" }, { "item": "11.C(1)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?" }, { "item": "11.C(2)", "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?" }, { "item": "11.C(4)", "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.C(5)", "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?" }, { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "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?" } ], "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/bear-stearns-asset-management-inc-new-york-ny-113359", "display_name": "Bear Stearns Asset Management Inc.", "summary": "Bear Stearns Asset Management Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1987, with no regulatory assets under management reported in its Form ADV filing dated March 31, 2026.", "citation": "AdvisorCensus. Bear Stearns Asset Management Inc. (CRD 113359): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)" ], "quick_answers": [ { "q": "How is Bear Stearns Asset Management Inc. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Bear Stearns Asset Management Inc. reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Bear Stearns Asset Management Inc. located?", "a": "Bear Stearns Asset Management Inc.'s principal office is in New York, NY, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F)." }, { "q": "Is Bear Stearns Asset Management Inc. registered with the SEC or a state?", "a": "Bear Stearns Asset Management Inc. is an SEC-registered investment advisory firm, registered since 1987. Status as filed: Approved. CRD 113359." }, { "q": "How have Bear Stearns Asset Management Inc.'s assets and staff changed since 2021?", "a": "In the Form ADV data for Bear Stearns Asset Management Inc.: Regulatory assets under management: $110,932,046 in the October 2021 data and $17,282,631 in the October 2024 data, down 84%. Total employees: 9 in October 2021 and 5 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Bear Stearns Asset Management Inc. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (1)." }, { "q": "Does Bear Stearns Asset Management Inc. report any disciplinary disclosures?", "a": "Reports 8 disclosure items on Form ADV Item 11: yes answers to 2 questions about criminal matters and 6 questions about regulatory matters (11.A(1), 11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(2), 11.D(4)). 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/113359" }, { "q": "What changed in Bear Stearns Asset Management Inc.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Employees performing advisory functions went from 4 to 1." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 110932046.0, "total_employees": 9, "filing_date": "2021-03-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 86133894.0, "total_employees": 6, "filing_date": "2022-09-06" }, { "period": "2023-10-01", "regulatory_assets_under_management": 64134495.0, "total_employees": 6, "filing_date": "2023-03-30" }, { "period": "2024-10-01", "regulatory_assets_under_management": 17282631.0, "total_employees": 6, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": 7, "filing_date": "2025-03-27" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": 5, "filing_date": "2026-03-31" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 4 to 1." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/bear-stearns-asset-management-inc-new-york-ny-113359.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 1, "fewer_than_5": false, "raum": 0.0 } ], "disclosure_line": "Reports 8 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/113359", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }