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SMBC ASSET MANAGEMENT, INC.

NEW YORK, NY · CRD 109691 · IAPD ↗ · 212-418-3030

$199.8MRegulatory AUM
10Advisory reps
15Employees
1Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

60
October 2026 — SMBC ASSET MANAGEMENT, INC.'s provisional registration is now fully approved.
120-day provisional registration became a full approval.
CRMComplianceFinancial planning softwarePortfolio / reporting / TAMP
62
October 2026 — SMBC ASSET MANAGEMENT, INC. grew from 3 to 10 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
85
June 2026 — SMBC ASSET MANAGEMENT, INC. (NEW YORK, NY) is newly SEC-registered (provisional 120-day approval) with $0 RAUM and 3 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.