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MONEX ASSET MANAGEMENT, INC.
CRD 148123File 801-120366
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Jul 10, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$650.9M
Above cohort median (national)
Discretionary AUM
$529.5M
Non-discretionary $121.4M
Clients
599
600 accounts
Employees
20
Above cohort median in TX
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- FWRO
- Registration date
- Feb 22, 2021
- Principal office
- 440 LOUISIANA STREET, SUITE 1240, HOUSTON, TX, 77002
- Phone
- 713-877-8234
- Website
- https://www.monexsec.com/
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $650.9M
- Discretionary AUM
- $529.5M
- Non-discretionary AUM
- $121.4M
- Discretionary accounts
- 468
- Non-discretionary accounts
- 132
- Total accounts
- 600
- AUM per client
- $1.1M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 79 | $236.1M |
| Investment companies | 14 | $80.6M |
| High net worth individuals | 351 | $261.1M |
| Individuals (other than high net worth individuals) | 155 | $70.9M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- Yes
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- Yes
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11- Q11
- Q11C2
- Q11C5
- Q11E1
- Q11E2
- Q11E4
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Clients | 547 | 599 | increased by52 |
| Apr 1, 2026 | AUM | $556,823,051 | $650,868,175 | increased by$94,045,124 |
| Apr 1, 2026 | Accounts | 547 | 600 | increased by53 |
| Jan 1, 2026 | Custody | No | Yes | |
| Jan 1, 2026 | Clients | 528 | 547 | increased by19 |
| Jan 1, 2026 | AUM | $386,314,126 | $556,823,051 | increased by$170,508,925 |
| Jan 1, 2026 | Accounts | 528 | 547 | increased by19 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 20 | increased by5 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 231 | 528 | increased by297 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $171,336,377 | $386,314,126 | increased by$214,977,749 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 231 | 528 | increased by297 |
| Apr 1, 2022 | Employees | 13 | 15 | increased by2 |
| Apr 1, 2022 | Clients | 187 | 231 | increased by44 |
| Apr 1, 2022 | AUM | $126,384,444 | $171,336,377 | increased by$44,951,933 |
| Apr 1, 2022 | Accounts | 187 | 231 | increased by44 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “MONEX ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“MONEX ASSET” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.