# 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.

- CRD: 109691
- Filed as: SMBC ASSET MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: September 25, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/109691
- AdvisorCensus page: https://advisorcensus.com/firm/smbc-asset-management-inc-new-york-ny-109691

## Quick answers

**How 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. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**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

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

### Regulatory assets under management (Item 5.F)
- Total: $199,782,536
- Discretionary: $158,757,593
- Non-discretionary: $41,024,943

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 3 | $158,757,593 |
| Other | 1 | $41,024,943 |

### 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

### Firm details
- Registered since: 2026 (0 years)
- Employees: 15 total, 10 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

## 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.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. SMBC Asset Management, Inc. (CRD 109691): Form ADV filing data as of October 2026.