DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Sumitomo Mitsui Ds Asset Management Company, Limited
Latest filing Aug 20, 2026
First filing on the tape Apr 30, 2019 · 34 filings
SEC status approved since May 28, 2019
RAUM
$178B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,022
213 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$178B as of Aug 20, 2026
Jun 17, 2020$136B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 20, 2026
Jun 17, 20200 then
Employees (5.A)1,022 as of Aug 20, 2026
Jun 17, 20201,074 then
Private funds: no history
RAUM +12% over the last fiscal year+6.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $133MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$105B59%
- Pension and profit-sharing plans$35B20%
- Corporations and businesses$22B12%
- Banks and thrifts$16B8.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 370reported
- Charitable clients
- n/areported
- Accounts
- 1,340reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.59 institutional_share=0.2 related_bd=true related_bank=false bd_reps=20.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Ryohei Ajisaka · Senior Managing Executive Officercontrolsince 04/2021 · owns less than 5%
- Jun Arai · Director (External Director)controlsince 04/2019 · owns less than 5%
- Yasuhiro Harada · Executive Officercontrolsince 04/2024 · owns less than 5%
- Tomonori Hori · Executive Officercontrolsince 04/2023 · owns less than 5%
- Tsuneto Iki · Deputy President Excutive Officercontrolsince 04/2021 · owns less than 5%
- Tsuyoshi Imai · Director And Senior Managing Executive Officercontrolsince 04/2019 · owns less than 5%
- Daisuke Ishihara · Executive Officercontrolsince 04/2024 · owns less than 5%
- Koichi Kinoshita · Managing Executive Officercontrolsince 04/2020 · owns less than 5%
- Yasuko Kito · Executive Officercontrolsince 04/2024 · owns less than 5%
- Tomonobu Matsui · Chief Compliance Officer, Director And Manading Executive Offiercontrolsince 04/2024 · owns less than 5%
- Naoto Nagai · Executive Officercontrolsince 10/2022 · owns less than 5%
- Tsuyoshi Niijima · Executive Officercontrolsince 04/2021 · owns less than 5%
- Wataru Ogihara · Depurty President Executive Officercontrolsince 04/2023 · owns less than 5%
- Naoya Orime · Director(External Director)controlsince 06/2024 · owns less than 5%
- Takashi Saruta · Representative Director, President And Ceocontrolsince 04/2020 · owns less than 5%
- Hiroko Sasaki · Director (External Director)controlsince 10/2022 · owns less than 5%
- Kenji Sonoda · Executive Officercontrolsince 04/2024 · owns less than 5%
- Takenari Suzuki · Managing Executive Officercontrolsince 04/2020 · owns less than 5%
- Mineo Takatsuka · Senior Managing Executive Officercontrolsince 04/2020 · owns less than 5%
- Yuko Tsuchiya · Executive Officercontrolsince 04/2024 · owns less than 5%
- Osamu Ueyama · Senior Managing Executive Officercontrolsince 04/2024 · owns less than 5%
- Naofumi Yamamoto · Executive Officercontrolsince 04/2022 · owns less than 5%
- Shiko Yanagisawa · Director And Deputy President Executive Officercontrolsince 04/2024 · owns less than 5%
- Koichiro Yoda · Executive Officercontrolsince 04/2023 · owns less than 5%
Entity owners
- Daiwa Securities Group Inc · Parent Companydirect · owns 10% to 25%
- Mitsui Sumitomo Insurance Company, Limited · Parent Companydirect · owns 10% to 25% · public reporting company
- Sumitomo Life Insurance Company · Parent Companydirect · owns 10% to 25%
- Sumitomo Mitsui Financial Group, Inc. · Parent Companydirect · owns 50% to 75%
- Sumitomo Mitsui Trust Bank, Limited · Shareholderdirect · owns less than 5%
Related persons
Schedule D 7.A
- Smbc Nikko Securities Inc.broker-dealern
- Sumitomo Mitsui Banking Corporationn
- Sumitomo Mitsui Ds Asset Management (Hong Kong) Limitedinvestment adviseryRAUM $567M
- Sumitomo Mitsui Ds Asset Management (Singapore) Pte. Ltd.investment adviseryRAUM $444M
- Sumitomo Mitsui Ds Asset Management (Uk) Limitedinvestment advisery
- Smbc Asset Management, Inc.investment advisern
- Sumitomo Mitsui Ds Private Fund Management (Shanghai) Co., Ltd.investment advisery
Advisers that list Sumitomo Mitsui Ds Asset Management Company, Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,373 to 1,340Mar 23, 2026 to Jun 25, 2026
- Advisory employees · 204 to 213Mar 23, 2026 to Jun 25, 2026
- BD registered reps · 21 to 20Mar 23, 2026 to Jun 25, 2026
- Corporate clients · 89 to 107Mar 23, 2026 to Jun 25, 2026
- Pension plan clients · 376 to 370Mar 23, 2026 to Jun 25, 2026
- Pooled vehicle clients · 866 to 823Mar 23, 2026 to Jun 25, 2026
- Employees · 1,000 to 1,022Mar 23, 2026 to Jun 25, 2026
- Financial planning clients · to 0Mar 23, 2026 to Jun 25, 2026
- Discretionary RAUM · $144B to $168BMar 23, 2026 to Jun 25, 2026
- Non-discretionary RAUM · $13B to $10BMar 23, 2026 to Jun 25, 2026
- Pension RAUM · $32B to $35BMar 23, 2026 to Jun 25, 2026
- Pooled vehicle RAUM · $94B to $105BMar 23, 2026 to Jun 25, 2026
- RAUM · $157B to $178BMar 23, 2026 to Jun 25, 2026
- Accounts · 1,435 to 1,373Mar 31, 2025 to Jun 24, 2025
- Advisory employees · 254 to 204Mar 31, 2025 to Jun 24, 2025
- BD registered reps · 0 to 21Mar 31, 2025 to Jun 24, 2025
- Corporate clients · 76 to 89Mar 31, 2025 to Jun 24, 2025
- Pension plan clients · 379 to 376Mar 31, 2025 to Jun 24, 2025
- Pooled vehicle clients · 937 to 866Mar 31, 2025 to Jun 24, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 24, 2025
- Discretionary RAUM · $142B to $144BMar 31, 2025 to Jun 24, 2025
- Non-discretionary RAUM · $16B to $13BMar 31, 2025 to Jun 24, 2025
- Pension RAUM · $31B to $32BMar 31, 2025 to Jun 24, 2025
- Pooled vehicle RAUM · $89B to $94BMar 31, 2025 to Jun 24, 2025
- RAUM · $158B to $157BMar 31, 2025 to Jun 24, 2025
- HQ state · unset to Oct 8, 2024 to Mar 31, 2025
- Accounts · 1,465 to 1,435Apr 10, 2024 to Jun 24, 2024
- Corporate clients · 67 to 76Apr 10, 2024 to Jun 24, 2024
- Pension plan clients · 384 to 379Apr 10, 2024 to Jun 24, 2024
- Pooled vehicle clients · 973 to 937Apr 10, 2024 to Jun 24, 2024
- Employees · 961 to 1,000Apr 10, 2024 to Jun 24, 2024
- Discretionary RAUM · $118B to $142BApr 10, 2024 to Jun 24, 2024
- Pension RAUM · $27B to $31BApr 10, 2024 to Jun 24, 2024
- Pooled vehicle RAUM · $78B to $89BApr 10, 2024 to Jun 24, 2024
- RAUM · $134B to $158BApr 10, 2024 to Jun 24, 2024
- Business name · SMDAM to SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITEDSep 14, 2023 to Oct 5, 2023
- Legal name · SUMITOMO MITSUI DS ASSET MANAGEMENT COMPNY,LIMITED to SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITEDSep 6, 2023 to Sep 14, 2023
- Accounts · 1,512 to 1,465May 10, 2023 to Jun 22, 2023
- Advisory employees · 266 to 254May 10, 2023 to Jun 22, 2023
- Corporate clients · 63 to 67May 10, 2023 to Jun 22, 2023
Signals
59 dated events
- Noriyuki Yanagawa (Director (External Director)) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2024-06-24, absent 2024-07-16)Jul 16, 2024 · Control person left · inference
- Naoya Orime (Director(External Director)) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedJul 16, 2024 · Control person joined · fact
- Satoru Sakai (Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2024-02-08, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- Kazuhisa Shinbo (Director And Senior Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2024-02-08, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- Takayuki Sawano (Representative Director, Deputy President Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2024-02-08, absent 2024-04-01)Apr 1, 2024 · Control person left · inference
- Shiko Yanagisawa (Director And Deputy President Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Yasuko Kito (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Kenji Sonoda (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Daisuke Ishihara (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Yasuhiro Harada (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Yuko Tsuchiya (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 1, 2024 · Control person joined · fact
- Shingo Imai (Director And Senior Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2023-06-22, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Chikatomo Hodo (Director (External Director)) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2023-06-22, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Makoto Shiraga (Senior Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2022-11-09, absent 2023-04-06)Apr 6, 2023 · Control person left · inference
- Kazushi Iwai (Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2022-11-09, absent 2023-04-06)Apr 6, 2023 · Control person left · inference
- Yuichiro Yoda (Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2022-11-09, absent 2023-04-06)Apr 6, 2023 · Control person left · inference
- Takashi Kume (Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2022-11-09, absent 2023-04-06)Apr 6, 2023 · Control person left · inference
- Koichiro Yoda (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 6, 2023 · Control person joined · fact
- Tomonori Hori (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 6, 2023 · Control person joined · fact
- Wataru Ogihara (Depurty President Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 6, 2023 · Control person joined · fact
- Hiroko Sasaki (Director (External Director)) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedNov 9, 2022 · Control person joined · fact
- Naoto Nagai (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedNov 9, 2022 · Control person joined · fact
- Tomonobu Matsui (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 4, 2022 · Control person joined · fact
- Naofumi Yamamoto (Executive Officer) appeared on Schedule A of Sumitomo Mitsui Ds Asset Management Company, LimitedApr 4, 2022 · Control person joined · fact
- Yoshihiro Horikawa (Deputy President Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-28, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Kenji Imamura (Senior Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-28, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Shin Ito (Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-28, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Takashi Kawahori (Director And Senior Managing Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-28, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Kazuo Watanabe (Executive Officer) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-28, absent 2022-04-04)Apr 4, 2022 · Control person left · inference
- Takashi Matsushita (Representative Director, Chairman) no longer on Schedule A of Sumitomo Mitsui Ds Asset Management Company, Limited (listed 2021-06-17, absent 2021-06-28)Jun 28, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/sumitomo-ds-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- note.smd-am.co.jpreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 81-3-6205-0200reportedpublic record, Form ADV, Aug 20, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026