# Simplify Asset Management Inc.

> Simplify Asset Management Inc. is an SEC-registered investment advisory firm in Las Vegas, NV, registered since 2020, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 21, 2026.

- CRD: 309535
- Filed as: SIMPLIFY ASSET MANAGEMENT INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Las Vegas, NV
- Filing period: October 2026
- Form ADV filing dated: August 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/309535
- AdvisorCensus page: https://advisorcensus.com/firm/simplify-asset-management-inc-las-vegas-nv-309535

## Quick answers

**How is Simplify Asset Management Inc. compensated?**
On its Form ADV (Item 5.E, October 2026), Simplify Asset Management Inc. reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**Where is Simplify Asset Management Inc. located?**
Simplify Asset Management Inc.'s principal office is in Las Vegas, NV, according to its Form ADV; the September 2026 filing also lists 1 other office (Schedule D, Section 1.F).

**Is Simplify Asset Management Inc. registered with the SEC or a state?**
Simplify Asset Management Inc. is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 309535.

**How much does Simplify Asset Management Inc. manage?**
Simplify Asset Management Inc. reports $14,051,519,652 in regulatory assets under management in its Form ADV filing dated August 21, 2026 (100% discretionary).

**How have Simplify Asset Management Inc.'s assets and staff changed since 2021?**
In the Form ADV data for Simplify Asset Management Inc.: Regulatory assets under management: $690,000,000 in the October 2021 data and $14,051,519,652 in the October 2026 data, up 1936%. Total employees: 15 in October 2021 and 45 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Simplify Asset Management Inc. serve?**
By number of clients on Form ADV Item 5.D: investment companies (43); pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Simplify Asset Management Inc. report any disciplinary disclosures?**
Reports 3 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(4) (SEC or CFTC order), and 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order). 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/309535

**What changed in Simplify Asset Management Inc.'s recent Form ADV filings?**
In the September 2026 filing data: Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5)). Employees performing advisory functions went from 17 to 14. Regulatory assets under management went from $9,635,489,613 to $14,051,519,652 (+46%). Registered or notice-filed in MA. Updated its list of owners and control persons (Schedule A).

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Regulatory assets under management (Item 5.F)
- Total: $14,051,519,652
- Discretionary: $14,051,519,652
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 43 | $14,049,269,652 |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $2,250,000 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (and business development companies)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients

### Firm details
- Registered since: 2020 (6 years)
- Employees: 45 total, 14 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: CA, FL, MA, NV, NY, TX
- Disclosures (Item 11): Reports 3 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/309535

### Other offices (Schedule D, Section 1.F), as of the September 2026 filing
- New York, NY

### Websites listed on Form ADV (Item 1.I)
- simplify.us
- Facebook @SimplifyETFs
- Instagram @simplifyasstmgt
- LinkedIn @SIMPLIFYASSETMANAGEMENT
- X @SimplifyAsstMgt
- YouTube @SimplifyAssetManagement

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $690,000,000 | 15 | September 28, 2021 |
| October 2022 | $1,355,634,801 | 24 | September 28, 2022 |
| October 2023 | $2,435,497,393 | 30 | September 29, 2023 |
| October 2024 | $4,662,466,719 | 45 | September 26, 2024 |
| October 2025 | $4,662,466,719 | 45 | May 7, 2025 |
| October 2026 | $14,051,519,652 | 45 | August 21, 2026 |

Regulatory assets under management: $690,000,000 in the October 2021 data and $14,051,519,652 in the October 2026 data, up 1936%.
Total employees: 15 in October 2021 and 45 in October 2026.

## Changes in the filing (last 12 months)

### September 2026
- Item 11 disclosure answers changed: 3 yes answers, previously 0 (now yes: 11.C(2), 11.C(4), 11.C(5)).
- Employees performing advisory functions went from 17 to 14.
- Regulatory assets under management went from $9,635,489,613 to $14,051,519,652 (+46%).
- Registered or notice-filed in MA.
- Updated its list of owners and control persons (Schedule A).

### January 2026
- No longer registered or notice-filed in AZ, GA, MA, ME, NH, PA, SC, UT.

### December 2025
- Regulatory assets under management went from $4,662,466,719 to $9,635,489,613 (+107%).
- Employees performing advisory functions went from 13 to 17.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Simplify Asset Management Inc. (CRD 309535): Form ADV filing data as of October 2026.