Investment adviser · CRD 109691
SMBC ASSET MANAGEMENT, INC.
Investment adviser filing (IA)
NEW YORK, NY, United States · Form ADV filed Sep 25, 2026
- Regulatory AUM
- $200M Form ADV · Item 5.F
- Client accounts
- 4 Accounts, not individual clients
- Employees
- 15 Reported in this filing
- Advisory professionals
- 10 Investment advisory functions
Who they report serving
Form ADV · Item 5.DClient types and their share of reported regulatory assets.
| Client type | Clients | Regulatory assets | Share of AUM |
|---|---|---|---|
| Pooled investment vehicles | 3 | $158,757,593 | 79.5% |
| Other clients | 1 | $41,024,943 | 20.5% |
Filing source
Form ADV 2134939 · Sep 25, 2026 · Item 5.D
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.
Private funds & service providers
0 Private fundsThe count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.
This filing answers No to private funds.
Services & filing details
Most recent filing: Sep 25, 2026. View historical filings
Reported services
Pooled investment vehicle management · Business portfolio management
Compensation
Percentage of assets
Principal office
277 PARK AVENUE, 5TH FLOORNEW YORK, NY, 10172, United States
CRD 109691
Filing source
Form ADV 2134939 · Sep 25, 2026 · Items 1 & 5
Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.