{
  "crd_number": 133827,
  "slug": "samsung-asset-management-new-york-inc-new-york-ny-133827",
  "primary_business_name": "SAMSUNG ASSET MANAGEMENT (NEW YORK), INC.",
  "legal_name": "SAMSUNG ASSET MANAGEMENT (NEW YORK), 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": "2005-04-04",
  "years_registered": 21,
  "period": "2026-10-01",
  "filing_date": "2026-03-25",
  "carried_forward": false,
  "raum_total": 8165533053.0,
  "raum_discretionary": 8165533053.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 13,
  "advisory_employees": 11,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "insurance_companies": {
      "raum": 167783030.0,
      "count": 2,
      "fewer_than_5": true
    },
    "investment_companies": {
      "raum": 390975221.0,
      "count": 1
    },
    "other_investment_advisers": {
      "raum": 7606774802.0,
      "count": 1,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 6,
  "states_registered": [
    "NY"
  ],
  "websites": [
    "https://linkedin.com/company/samny"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/133827",
  "disclosure_items": [
    {
      "item": "11.B(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 misdemeanor involving investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, extortion, or a conspiracy to commit any of these?"
    },
    {
      "item": "11.B(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with one of the misdemeanors listed in 11.B(1)?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "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?"
    },
    {
      "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/samsung-asset-management-new-york-inc-new-york-ny-133827",
  "display_name": "Samsung Asset Management (New York), Inc.",
  "summary": "Samsung Asset Management (New York), Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2005, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated March 25, 2026.",
  "citation": "AdvisorCensus. Samsung Asset Management (New York), Inc. (CRD 133827): 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 investment companies (and business development 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 Samsung Asset Management (New York), Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Samsung Asset Management (New York), 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 Samsung Asset Management (New York), Inc. located?",
      "a": "Samsung Asset Management (New York), Inc.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Samsung Asset Management (New York), Inc. registered with the SEC or a state?",
      "a": "Samsung Asset Management (New York), Inc. is an SEC-registered investment advisory firm, registered since 2005. Status as filed: Approved. CRD 133827."
    },
    {
      "q": "How much does Samsung Asset Management (New York), Inc. manage?",
      "a": "Samsung Asset Management (New York), Inc. reports $8,165,533,053 in regulatory assets under management in its Form ADV filing dated March 25, 2026 (100% discretionary)."
    },
    {
      "q": "How have Samsung Asset Management (New York), Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for Samsung Asset Management (New York), Inc.: Regulatory assets under management: $5,789,706,403 in the October 2021 data and $8,165,533,053 in the October 2026 data, up 41%. Total employees: 9 in October 2021 and 13 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Samsung Asset Management (New York), Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: insurance companies (2); investment companies (1); other investment advisers (1)."
    },
    {
      "q": "Which custodians does Samsung Asset Management (New York), Inc. use?",
      "a": "Samsung Asset Management (New York), Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists JPMorgan Chase as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Samsung Asset Management (New York), Inc. report any disciplinary disclosures?",
      "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.B(1) (conviction or plea for a listed misdemeanor in the past ten years), 11.B(2) (charge for a listed misdemeanor in the past ten years), 11.D(1) (another regulator's finding of a false statement or omission, or of dishonest, unfair, or unethical conduct), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 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/133827"
    },
    {
      "q": "What changed in Samsung Asset Management (New York), Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Regulatory assets under management went from $6,825,441,015 to $8,165,533,053 (+20%). Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 5789706403.0,
      "total_employees": 9,
      "filing_date": "2021-10-01"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 7157846503.0,
      "total_employees": 9,
      "filing_date": "2022-03-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 5483880351.0,
      "total_employees": 9,
      "filing_date": "2023-03-23"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 6223942494.0,
      "total_employees": 10,
      "filing_date": "2024-03-07"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 6825441015.0,
      "total_employees": 13,
      "filing_date": "2025-03-25"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 8165533053.0,
      "total_employees": 13,
      "filing_date": "2026-03-25"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Regulatory assets under management went from $6,825,441,015 to $8,165,533,053 (+20%).",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "JPMorgan Chase",
      "name_as_filed": "JPMORGAN CHASE",
      "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/samsung-asset-management-new-york-inc-new-york-ny-133827.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 390975221.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 1,
      "fewer_than_5": true,
      "raum": 7606774802.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 2,
      "fewer_than_5": true,
      "raum": 167783030.0
    }
  ],
  "disclosure_line": "Reports 6 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/133827",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}