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MONEX ASSET MANAGEMENT, INC.

HOUSTON, TX · CRD 148123 · IAPD ↗ · monexsec.com · 713-877-8234

$650.9MRegulatory AUM
17Advisory reps
20Employees
0Clients
0Planning clients
0Private funds
2States
10Disclosures
wealthSegment
ApprovedSEC status

Filing changes

71
April 2026 — MONEX ASSET MANAGEMENT, INC. grew from 14 to 17 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
68
January 2026 — MONEX ASSET MANAGEMENT, INC. now reports custody of client assets ($10.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
70
January 2026 — MONEX ASSET MANAGEMENT, INC. crossed $500M in regulatory AUM ($386.3M -> $556.8M).
Regulatory AUM crossed $500M.
Portfolio / reporting / TAMPCRMIntegration & migration consulting
73
April 2025 — MONEX ASSET MANAGEMENT, INC. reported RAUM up 92% ($200.9M -> $386.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
50
June 2024 — MONEX ASSET MANAGEMENT, INC.'s Item 11 disclosure-reporting entries rose by 2 (8 -> 10).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
60
April 2024 — MONEX ASSET MANAGEMENT, INC. reported RAUM up 26% ($159.7M -> $200.9M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software

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