Private fund adviser · New York, NY
Smbc Asset Management, Inc.
SEC-registered investment adviser · CRD 109691 · SEC 801-136399
At a glance
Smbc Asset Management, Inc. is an SEC-registered investment adviser based in New York, New York, with $200 million in regulatory assets under management as of its Form ADV filed September 25, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 4,035th of 4,686 private fund advisers and 12,239th of 17,210 SEC-registered advisers by assets.
Main office 212-418-3030As filed on Form ADV
- Regulatory AUM
- $200M
- Rank among private fund advisers
- #4,035 of 4,686
- Rank among all SEC RIAs
- #12,239 of 17,210
- Rank in New York
- #1,919 of 2,591
- Clients
- 4
- Accounts
- 4
- Discretionary
- 79% of AUM
- Employees
- 15
- Advisory staff
- 10
- Offices
- 1
Owners and executives on its Form ADV
- Tsuyoshi (. NiijimaPresident and CEO / Director
- Wei (. ZhaoChief Compliance Officer
- Kohei KurodaDirector
Custody and brokerage
Custodian
Smbc Asset Management, Inc.’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Hybrid RIA
Smbc Asset Management, Inc. is a hybrid RIA: 1 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Smbc Nikko Securities America, Inc. and Smbc Nikko Securities Canada, LTD..
- Smbc Nikko Securities America, Inc. ↗CRD 28602
An introducing broker-dealer: its trades clear through another firm, which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
- Smbc Nikko Securities Canada, LTD. ↗CRD 297706
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 3 | $159M | 79% |
| Other | 1 | $41M | 21% |
Disciplinary disclosures
Smbc Asset Management, Inc. reports no disciplinary disclosures in Item 11 of Form ADV. Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
- Other services
How it’s paid
- A percentage of assets under management
- Other
Form ADV and brochures on the SEC’s adviser search ↗
AtlasMembers
The full record on Smbc 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, ten years of filings
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- Growth over one, three and five years
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- Rank against 1,718 peers of its type and size
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- Owners and executives, with titles and stakes
- 3 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 Smbc Asset Management, Inc. manage?
Smbc Asset Management, Inc. reports $200 million in regulatory assets under management across 4 accounts, 79% of it on a discretionary basis, on its Form ADV filed September 25, 2026.
What kind of firm is Smbc Asset Management, Inc.?
Smbc Asset Management, Inc. is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Smbc Asset Management, Inc.’s clients?
By assets, its largest client types are pooled investment vehicles ($159 million, 3 clients); other ($41 million, 1 clients).
Does Smbc Asset Management, Inc. have any disciplinary history?
Smbc Asset Management, Inc. reports no disciplinary disclosures in Item 11 of its Form ADV. Check the SEC’s adviser search for the latest record.
Where these numbers come from
Every figure is Smbc 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 (2026-09-25), 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 →