AdvisorCensus / Financial advisors / New York / New York / SMBC Asset Management, Inc.
SMBC Asset Management, Inc.
Filed as SMBC ASSET MANAGEMENT, INC.
SMBC Asset Management, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 2026, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated September 25, 2026.
Quick answers
From the filingHow is SMBC Asset Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), SMBC Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management; other.
Where is SMBC Asset Management, Inc. located?
SMBC Asset Management, Inc.'s principal office is in New York, NY, according to its Form ADV.
Is SMBC Asset Management, Inc. registered with the SEC or a state?
SMBC Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 109691.
How much does SMBC Asset Management, Inc. manage?
SMBC Asset Management, Inc. reports $199,782,536 in regulatory assets under management in its Form ADV filing dated September 25, 2026 (79% discretionary).
What types of clients does SMBC Asset Management, Inc. serve?
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (3); other (1).
Does SMBC Asset Management, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/109691
What changed in SMBC Asset Management, Inc.'s recent Form ADV filings?
In the October 2026 filing data: Employees performing advisory functions went from 3 to 10. Updated its list of owners and control persons (Schedule A).
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
- Other
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Fees and minimums
Form ADV Part 2ASee the firm's brochure (dated April 30, 2026) for its fees and any account minimum, on the SEC's IAPD site.
Regulatory assets under management
Item 5.F$199,782,536 as of October 2026, filing dated September 25, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Other
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2026 (0 years)
- Employees
- Total: 15. Performing investment advisory functions: 10.
- Wrap fee program participation
- No.
- States registered or notice-filed
-
1 state or jurisdiction
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Changes in the filing
Last 12 months- October 2026
- Employees performing advisory functions went from 3 to 10.
- Updated its list of owners and control persons (Schedule A).
- June 2026
- Newly registered with the SEC.
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.INot reported.
Source: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. SMBC Asset Management, Inc. (CRD 109691): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/smbc-asset-management-inc-new-york-ny-109691