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
Simplify Asset Management Inc.
Latest filing Aug 21, 2026
First filing on the tape Jul 10, 2020 · 21 filings
SEC status approved since Aug 10, 2020
RAUM
$14B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$3.5B
derived; firm RAUM over IAPD count
Employees
45
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$14B as of Aug 21, 2026
Sep 28, 2021$690M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 21, 2026
Sep 28, 20210 then
Employees (5.A)45 as of Aug 21, 2026
Sep 28, 202115 then
Private funds: no history
RAUM +477% over the last fiscal year+173% a year over threeIARs 0 to 2offices 9 to 1
Practice profile
derived from the filing of Aug 21, 2026; every figure names its basis
- RAUM per advisor
- $3.5BderivedRAUM 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
- $319MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +91%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$14B100%
- Pooled investment vehicles$2.3M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Paul Sang Jin KimChartered Financial Analyst | Las Vegas, Nv | Jul 25, 2024 | 16 y | 0 |
| Borislava I IvanovaChartered Financial Analyst | Heber City, Ut | Oct 24, 2024 | 12 y | 0 |
| Brian Carroll Kelleher | Miami, Fl | Feb 20, 2025 | 26 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
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
- Marc David Berns · Co-Founder, Chief Information Officercontrolsince 02/2020 · owns 25% to 50%
- Chi Yu Fiona Ho · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- Carroll Brian Kelleher · Chief Revenue Officercontrolsince 04/2021 · owns less than 5%
- Sang Jin Paul Kim · Co-Founder, Chief Executive Officer, & Chief Compliance Officercontrolsince 02/2020 · owns 25% to 50%
- John Ryu · Chief Financial Officercontrolsince 06/2021 · owns less than 5%
- Alan Richard Kayne · Trusteecontrolsince 01/2022 · owns F of Richard Kayne And Suzanna Kayne Living Trust
Entity owners
- Richard Kayne And Suzanna Kayne Living Trust · Ownerdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Brian Carroll Kelleherbanky
- Christopher Getterbanky
- David Marc Bernsbanky
- Fiona Hobanky
- Harley Bassmanbanky
- Jason Englandbanky
- Jeffrey Schwartebanky
- John Chong Ryubanky
- Michael Greenbanky
- Paul Sang Jin Kimbanky
- Roxton Mcnealbanky
- Simplify Eqls LLCinvestment adviseryRAUM $114M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Las Vegas, Nv · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL1 employees
- New York, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Aug 21, 2026bank affiliate (Item 7.A.6): yes on the filing of 2025-10-03, no on the filing of 2026-08-21peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 36 to 44Oct 3, 2025 to Aug 21, 2026
- Advisory employees · 17 to 14Oct 3, 2025 to Aug 21, 2026
- Discretionary RAUM · $9.6B to $14BOct 3, 2025 to Aug 21, 2026
- Pooled vehicle RAUM · $1.3M to $2.3MOct 3, 2025 to Aug 21, 2026
- RAUM · $9.6B to $14BOct 3, 2025 to Aug 21, 2026
- Related adviser · true to falseOct 3, 2025 to Aug 21, 2026
- Related bank · true to falseOct 3, 2025 to Aug 21, 2026
- Accounts · 28 to 36May 7, 2025 to Oct 3, 2025
- Advisory employees · 13 to 17May 7, 2025 to Oct 3, 2025
- Advisory activities · 2 to 4May 7, 2025 to Oct 3, 2025
- Pooled vehicle clients · unset to 1.0May 7, 2025 to Oct 3, 2025
- Other offices · 10 to 1May 7, 2025 to Oct 3, 2025
- Discretionary RAUM · $4.7B to $9.6BMay 7, 2025 to Oct 3, 2025
- Pooled vehicle RAUM · unset to 1250720.0May 7, 2025 to Oct 3, 2025
- RAUM · $4.7B to $9.6BMay 7, 2025 to Oct 3, 2025
- Financial planning clients · unset to May 1, 2025 to May 7, 2025
- Other offices · 11 to 10Nov 4, 2024 to May 1, 2025
- Other offices · 10 to 11Sep 11, 2024 to Sep 26, 2024
- Advisory activities · 1 to 2Aug 22, 2024 to Sep 11, 2024
- HQ city · NEW YORK to LAS VEGASAug 22, 2024 to Sep 11, 2024
- HQ state · NY to NVAug 22, 2024 to Sep 11, 2024
- State-registered IARs · 0 to 2Aug 22, 2024 to Sep 11, 2024
- Accounts · 26 to 28Jul 19, 2024 to Aug 22, 2024
- Advisory employees · 10 to 13Jul 19, 2024 to Aug 22, 2024
- Employees · 30 to 45Jul 19, 2024 to Aug 22, 2024
- Discretionary RAUM · $3.2B to $4.7BJul 19, 2024 to Aug 22, 2024
- RAUM · $3.2B to $4.7BJul 19, 2024 to Aug 22, 2024
- Related adviser · false to trueFeb 14, 2024 to Feb 27, 2024
- Other offices · 9 to 10Nov 6, 2023 to Jan 22, 2024
- Discretionary RAUM · $2.4B to $3.2BNov 6, 2023 to Jan 22, 2024
- RAUM · $2.4B to $3.2BNov 6, 2023 to Jan 22, 2024
- Accounts · 21 to 26Dec 2, 2022 to Sep 29, 2023
- Advisory employees · 7 to 10Dec 2, 2022 to Sep 29, 2023
- Employees · 24 to 30Dec 2, 2022 to Sep 29, 2023
- Other offices · 8 to 9Dec 2, 2022 to Sep 29, 2023
- Discretionary RAUM · $1.4B to $2.4BDec 2, 2022 to Sep 29, 2023
- RAUM · $1.4B to $2.4BDec 2, 2022 to Sep 29, 2023
- Other offices · 7 to 8Sep 28, 2022 to Dec 2, 2022
- Accounts · 12 to 21Sep 28, 2021 to Sep 28, 2022
- Advisory employees · 6 to 7Sep 28, 2021 to Sep 28, 2022
Signals
14 dated events
- Simplify Asset Management Inc. reported RAUM $14.1B, up 46% from $9.6B (2025-10-03 to 2026-08-21)Aug 21, 2026 · RAUM change · derived
- Simplify Asset Management Inc. reported RAUM $9.6B, up 107% from $4.7B (2025-05-07 to 2025-10-03)Oct 3, 2025 · RAUM change · derived
- Simplify Asset Management Inc. reported 1 offices beyond its principal office, down from 10 (2025-05-07 to 2025-10-03)Oct 3, 2025 · Office count change · derived
- Simplify Asset Management Inc. reported RAUM $4.7B, up 46% from $3.2B (2024-07-19 to 2024-08-22)Aug 22, 2024 · RAUM change · derived
- Alan Richard Kayne (Trustee) appeared on Schedule A of Simplify Asset Management Inc.Feb 14, 2024 · Control person joined · fact
- Simplify Asset Management Inc. reported RAUM $3.2B, up 31% from $2.4B (2023-11-06 to 2024-01-22)Jan 22, 2024 · RAUM change · derived
- Simplify Asset Management Inc. reported RAUM $2.4B, up 80% from $1.4B (2022-12-02 to 2023-09-29)Sep 29, 2023 · RAUM change · derived
- Simplify Asset Management Inc. reported RAUM $1.4B, up 96% from $690.0M (2021-09-28 to 2022-09-28)Sep 28, 2022 · RAUM change · derived
- Simplify Asset Management Inc. reported 7 offices beyond its principal office, up from 0 (2021-09-28 to 2022-09-28)Sep 28, 2022 · Office count change · derived
- Chi Yu Fiona Cole (Chief Operating Officer) appeared on Schedule A of Simplify Asset Management Inc.Sep 28, 2022 · Control person joined · fact
- John Ryu (Chief Financial Officer) appeared on Schedule A of Simplify Asset Management Inc.Sep 28, 2022 · Control person joined · fact
- Simplify Asset Management Inc. reported RAUM $690.0M, up 664% from $90.3M (2020-12-08 to 2021-09-28)Sep 28, 2021 · RAUM change · derived
- Carroll Brian Kelleher (Chief Revenue Officer) appeared on Schedule A of Simplify Asset Management Inc.Sep 28, 2021 · Control person joined · fact
- Simplify Asset Management Inc. filed its initial SEC registration (Form ADV)Jul 10, 2020 · First SEC registration · fact
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/SIMPLIFYASSETMANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SIMPLIFY.USreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 702-389-9705reportedpublic record, Form ADV, Aug 21, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026