{
  "crd_number": 109691,
  "slug": "smbc-asset-management-inc-new-york-ny-109691",
  "primary_business_name": "SMBC ASSET MANAGEMENT, INC.",
  "legal_name": "SMBC 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": "2026-05-29",
  "years_registered": 0,
  "period": "2026-10-01",
  "filing_date": "2026-09-25",
  "carried_forward": false,
  "raum_total": 199782536.0,
  "raum_discretionary": 158757593.0,
  "raum_non_discretionary": 41024943.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 15,
  "advisory_employees": 10,
  "client_count_bucket": null,
  "clients_by_type": {
    "other": {
      "raum": 41024943.0,
      "count": 1,
      "description": "SMA"
    },
    "pooled_investment_vehicles": {
      "raum": 158757593.0,
      "count": 3
    }
  },
  "compensation_types": [
    "other",
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "other",
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [
    "NY"
  ],
  "websites": [],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/109691",
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/smbc-asset-management-inc-new-york-ny-109691",
  "display_name": "SMBC Asset Management, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. SMBC Asset Management, Inc. (CRD 109691): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "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",
    "Other"
  ],
  "quick_answers": [
    {
      "q": "How is SMBC Asset Management, Inc. compensated?",
      "a": "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."
    },
    {
      "q": "Where is SMBC Asset Management, Inc. located?",
      "a": "SMBC Asset Management, Inc.'s principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is SMBC Asset Management, Inc. registered with the SEC or a state?",
      "a": "SMBC Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2026. Status as filed: Approved. CRD 109691."
    },
    {
      "q": "How much does SMBC Asset Management, Inc. manage?",
      "a": "SMBC Asset Management, Inc. reports $199,782,536 in regulatory assets under management in its Form ADV filing dated September 25, 2026 (79% discretionary)."
    },
    {
      "q": "What types of clients does SMBC 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) (3); other (1)."
    },
    {
      "q": "Does SMBC Asset Management, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in SMBC Asset Management, Inc.'s recent Form ADV filings?",
      "a": "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)."
    }
  ],
  "filing_history": [],
  "recent_changes": [
    {
      "period": "2026-10-01",
      "period_label": "October 2026",
      "notes": [
        "Employees performing advisory functions went from 3 to 10.",
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Newly registered with the SEC."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/smbc-asset-management-inc-new-york-ny-109691.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 3,
      "fewer_than_5": false,
      "raum": 158757593.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 1,
      "fewer_than_5": false,
      "raum": 41024943.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/109691",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}