Wealth manager, independent · Houston, TX
Monex Asset Management, Inc.
SEC-registered investment adviser · CRD 148123 · SEC 801-120366
At a glance
Monex Asset Management, Inc. is an SEC-registered investment adviser based in Houston, Texas, with $651 million in regulatory assets under management as of its Form ADV filed July 10, 2026. Its largest client group by assets is high-net-worth individuals, and it reports 506 individual clients. By Form ADV it is a wealth manager, ranked 2,310th of 8,915 wealth managers and 6,802nd of 17,210 SEC-registered advisers by assets.
Main office 713-877-8234monexsec.comAs filed on Form ADV
- Regulatory AUM
- $651M
- Rank among wealth managers
- #2,310 of 8,915
- Rank among all SEC RIAs
- #6,802 of 17,210
- Rank in Texas
- #429 of 1,081
- Individual clients
- 506
- High-net-worth clients
- 351
- Accounts
- 600
- Discretionary
- 81% of AUM
- Employees
- 20
- Advisory staff
- 17
- Offices
- 3
Owners and executives on its Form ADV
- Cesar I. Cazares CuevasChief Compliance Officer & AML Officer
- Ruben D. ContrerasPresident, CEO and CFO
Custody and brokerage
Broker-dealer
Hybrid RIA
Monex Asset Management, Inc. is a hybrid RIA: 17 of its employees are also registered representatives of a broker-dealer. It names an affiliated broker-dealer: Monex Securities, Inc..
- Monex Securities, Inc. ↗CRD 30362
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, February 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| High-net-worth individuals | 351 | $261M | 40% |
| Corporations or other businesses | 79 | $236M | 36% |
| Investment companies | 14 | $81M | 12% |
| Individuals | 155 | $71M | 11% |
| Other | – | $2M | <1% |
Disciplinary disclosures
Monex Asset Management, Inc. answers yes to 10 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for individuals and small businesses
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Fixed fees
Form ADV and brochures on the SEC’s adviser search ↗monexsec.com ↗
AtlasMembers
The full record on Monex Asset Management, Inc.
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 4 years of filings
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- Growth over one, three and five years
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- Rank against 4,710 peers of its type and size
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- Owners and executives, with titles and stakes
- 2 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
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Background
Questions
How much does Monex Asset Management, Inc. manage?
Monex Asset Management, Inc. reports $651 million in regulatory assets under management across 600 accounts, 81% of it on a discretionary basis, on its Form ADV filed July 10, 2026.
What kind of firm is Monex Asset Management, Inc.?
Monex Asset Management, Inc. is a wealth manager by its Form ADV answers. At least half of its regulatory assets are managed for individuals and high-net-worth individuals.
Who are Monex Asset Management, Inc.’s clients?
By assets, its largest client types are high-net-worth individuals ($261 million, 351 clients); corporations or other businesses ($236 million, 79 clients); investment companies ($81 million, 14 clients).
Does Monex Asset Management, Inc. have any disciplinary history?
Monex Asset Management, Inc. answers yes to 10 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Monex Asset Management, Inc.’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-07-10), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →