DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

SMC GLOBAL USA INC.

CRD 226666

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c52e977f-0ffb-92a6-274a-55a684ce960e

Data as of Jun 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 6, 2016 to Jun 30, 2017
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $29.3MItem 5.F on the latest filing (2017-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $28.4M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Accounts: 168
SEC number: 801-107145
CRD: 226666
Filings on the tape: 4
First filed: Jan 6, 2016
Latest filed: Jun 30, 2017
Organised: Corporation, New York

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
AGGARWAL, DAMODAR, KRISHAN	Director	Na	yes	07/2015	Jan 6, 2016	Jun 30, 2017
CHERIAN, FINNEY, JACOB	CHIEF EXECUTUVE OFFICER	B	yes	07/2015	Jan 6, 2016	Jun 30, 2017
FRANKLIN, ROMAN, NEHEMIAH	CCO, CIO	C	yes	09/2015	Jan 6, 2016	Jun 30, 2017
GUPTA, HIMANSHU	Director	Na	yes	07/2015	Jan 6, 2016	Jun 30, 2017
SMC GLOBAL SECURITIES LTD.	Owner	C	yes	02/2015	Jan 6, 2016	Jun 30, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
SMC GLOBAL SECURITIES LTD	n/a	n/a	n/a	Y	no	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Deland	FL	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Jun 30, 2017	$29.3M	$28.4M	4	2	n/a	n/a	n/a
2016	Jul 1, 2016	$26.6M	$21.0M	5	1	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$29.3M	$26.6M	10.2%	n/a	n/a	4	5	n/a	n/a

Relationships

Controls (5)

← FRANKLIN, ROMAN, NEHEMIAHOwnerCCO, CIO, ownership code C, individual
Jan 6, 2016 to presentfactForm ADV
← CHERIAN, FINNEY, JACOBOwnerCHIEF EXECUTUVE OFFICER, ownership code B, individual
Jan 6, 2016 to presentfactForm ADV
← GUPTA, HIMANSHUOwnerDIRECTOR, ownership code NA, individual
Jan 6, 2016 to presentfactForm ADV
← AGGARWAL, DAMODAR, KRISHANOwnerDIRECTOR, ownership code NA, individual
Jan 6, 2016 to presentfactForm ADV
← SMC GLOBAL SECURITIES LTD.OwnerOWNER, ownership code C, foreign entity
Jan 6, 2016 to presentfactForm ADV

Dated events

Occurred
Jan 6, 2016
First Form ADV filing
Smc Global Usa Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c52e977f-0ffb-92a6-274a-55a684ce960e
First observed: Jan 6, 2016
Last observed: Jun 30, 2017 112 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

SMC GLOBAL USA INC.

CRD 226666

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:c52e977f-0ffb-92a6-274a-55a684ce960e

Data as of Jun 30, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:19 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AGGARWAL, DAMODAR, KRISHAN

Director

yes

07/2015

Jan 6, 2016

Jun 30, 2017

CHERIAN, FINNEY, JACOB

CHIEF EXECUTUVE OFFICER

yes

07/2015

Jan 6, 2016

Jun 30, 2017

FRANKLIN, ROMAN, NEHEMIAH

CCO, CIO

yes

09/2015

Jan 6, 2016

Jun 30, 2017

GUPTA, HIMANSHU

Director

yes

07/2015

Jan 6, 2016

Jun 30, 2017

SMC GLOBAL SECURITIES LTD.

Owner

yes

02/2015

Jan 6, 2016

Jun 30, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

SMC GLOBAL SECURITIES LTD

n/a

City

State

Country

Employees

Also broker-dealer

Deland

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Jun 30, 2017

$29.3M

$28.4M

n/a

2016

Jul 1, 2016

$26.6M

$21.0M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$29.3M

$26.6M

10.2%

n/a