{ "crd_number": 301509, "slug": "sumitomo-mitsui-ds-asset-management-company-limited-minato-ku-tokyo-301509", "primary_business_name": "SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED", "legal_name": "SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED", "dbas": [], "city": "Minato-Ku, Tokyo", "state": null, "country": "Japan", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2019-05-28", "years_registered": 7, "period": "2026-10-01", "filing_date": "2026-08-20", "carried_forward": false, "raum_total": 177713000000.0, "raum_discretionary": 167613000000.0, "raum_non_discretionary": 10100000000.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 1022, "advisory_employees": 213, "client_count_bucket": null, "clients_by_type": { "banking_thrift": { "raum": 15546000000.0, "count": 40 }, "pension_profit_sharing": { "raum": 35096000000.0, "count": 370 }, "pooled_investment_vehicles": { "raum": 105497000000.0, "count": 823 }, "corporations_other_businesses": { "raum": 21574000000.0, "count": 107 } }, "compensation_types": [ "fixed", "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [], "websites": [ "https://facebook.com/direct.smd", "https://linkedin.com/company/sumitomo-ds-asset-management", "https://note.smd-am.co.jp", "https://smd-am.co.jp/english", "https://x.com/direct_smd", "https://x.com/smdam_BeActive", "https://youtube.com/channel/UCSJojrtjZQC2zKSinwII3gQ", "https://youtube.com/smdam" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/301509", "city_as_filed": "MINATO-KU, TOKYO", "url": "https://advisorcensus.com/firm/sumitomo-mitsui-ds-asset-management-company-limited-minato-ku-tokyo-301509", "display_name": "Sumitomo Mitsui DS Asset Management Company, Limited", "summary": "Sumitomo Mitsui DS Asset Management Company, Limited is an SEC-registered investment advisory firm in Minato-Ku, Tokyo, Japan, registered since 2019, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated August 20, 2026.", "citation": "AdvisorCensus. Sumitomo Mitsui DS Asset Management Company, Limited (CRD 301509): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Fixed fees (other than subscription fees)", "Performance-based fees" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Sumitomo Mitsui DS Asset Management Company, Limited compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sumitomo Mitsui DS Asset Management Company, Limited reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees." }, { "q": "How much does Sumitomo Mitsui DS Asset Management Company, Limited charge?", "a": "Its Form ADV Part 2A brochure dated June 25, 2026 states: Asset-based fee: 0.2% to 0.5% a year (a range, as the brochure states it). Fees can differ by service and may be negotiable; the brochure is the complete statement." }, { "q": "Where is Sumitomo Mitsui DS Asset Management Company, Limited located?", "a": "Sumitomo Mitsui DS Asset Management Company, Limited's principal office is in Minato-Ku, Tokyo, Japan, according to its Form ADV." }, { "q": "Is Sumitomo Mitsui DS Asset Management Company, Limited registered with the SEC or a state?", "a": "Sumitomo Mitsui DS Asset Management Company, Limited is an SEC-registered investment advisory firm, registered since 2019. Status as filed: Approved. CRD 301509." }, { "q": "How much does Sumitomo Mitsui DS Asset Management Company, Limited manage?", "a": "Sumitomo Mitsui DS Asset Management Company, Limited reports $177,713,000,000 in regulatory assets under management in its Form ADV filing dated August 20, 2026 (94% discretionary)." }, { "q": "How have Sumitomo Mitsui DS Asset Management Company, Limited's assets and staff changed since 2021?", "a": "In the Form ADV data for Sumitomo Mitsui DS Asset Management Company, Limited: Regulatory assets under management: $155,052,000,000 in the October 2021 data and $177,713,000,000 in the October 2026 data, up 15%. Total employees: 1,045 in October 2021 and 1,022 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Sumitomo Mitsui DS Asset Management Company, Limited serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (823); pension and profit sharing plans (but not the plan participants or government pension plans) (370); corporations or other businesses not listed above (107)." }, { "q": "Does Sumitomo Mitsui DS Asset Management Company, Limited 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/301509" }, { "q": "What changed in Sumitomo Mitsui DS Asset Management Company, Limited's recent Form ADV filings?", "a": "In the July 2026 filing data: Employees performing advisory functions went from 204 to 213. Regulatory assets under management went from $157,094,000,000 to $177,713,000,000 (+13%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 155052000000.0, "total_employees": 1045, "filing_date": "2021-06-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 148472000000.0, "total_employees": 958, "filing_date": "2022-06-23" }, { "period": "2023-10-01", "regulatory_assets_under_management": 133939000000.0, "total_employees": 961, "filing_date": "2023-09-14" }, { "period": "2024-10-01", "regulatory_assets_under_management": 158114000000.0, "total_employees": 1000, "filing_date": "2024-07-16" }, { "period": "2025-10-01", "regulatory_assets_under_management": 157094000000.0, "total_employees": 1000, "filing_date": "2025-06-24" }, { "period": "2026-10-01", "regulatory_assets_under_management": 177713000000.0, "total_employees": 1022, "filing_date": "2026-08-20" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Employees performing advisory functions went from 204 to 213.", "Regulatory assets under management went from $157,094,000,000 to $177,713,000,000 (+13%).", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": { "source": "Form ADV Part 2A brochure dated June 25, 2026", "provided_by_the_firm": false, "tiers": [], "flat_rate": null, "stated_range": "0.2% to 0.5% a year", "stated_maximum": null, "account_minimum": null, "account_minimum_may_be_waived": false, "minimum_annual_fee": null, "planning_fees": [], "figures": [ { "label": "Asset-based fee", "statements": [ "Asset-based fee: 0.2% to 0.5% a year (a range, as the brochure states it)" ], "quotes": [ "Our standard annual advisory fee for portfolio management of Japanese equity portfolios for non-Japanese investors ranges from 0.5% to 0.2% of assets under management, billed quarterly in arrears based on quarter -end account values." ] } ], "values": { "tiers": [], "range_pct": [ 0.2, 0.5 ], "max_pct": null, "account_minimum": null, "minimum_annual_fee": null, "planning": [] }, "quotes": [ "Our standard annual advisory fee for portfolio management of Japanese equity portfolios for non-Japanese investors ranges from 0.5% to 0.2% of assets under management, billed quarterly in arrears based on quarter -end account values." ], "note": "As stated in the firm's brochure; fees can differ by service and may be negotiable." }, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/sumitomo-mitsui-ds-asset-management-company-limited-minato-ku-tokyo-301509.md", "clients": [ { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": 40, "fewer_than_5": false, "raum": 15546000000.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 823, "fewer_than_5": false, "raum": 105497000000.0 }, { "type": "pension_profit_sharing", "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)", "count": 370, "fewer_than_5": false, "raum": 35096000000.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 107, "fewer_than_5": false, "raum": 21574000000.0 } ], "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/301509", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }