SIMPLIFY ASSET MANAGEMENT INC.
Adviser information for SIMPLIFY ASSET MANAGEMENT INC. last updated from Form ADV on February 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 10 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 26 | $3.2B |
| Non-Discretionary | 0 | $0 |
| Total | 26 | $3.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $3.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
222 BROADWAY, 22ND FLOORNEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 646-585-0476, Fax: None
Chief Compliance Officer
PAUL KIM
CEO
222 BROADWAY, 22ND FLOOR
NEW YORK
NY
United States
Tel:
646-585-0476
P*******@**********S
(Full email address available in API data)
Regulatory Contact
DAVID BERNS
CIO, CO-FOUNDER
222 BROADWAY, 22ND FLOOR
NEW YORK
NY
United States
Tel:
646-585-0476
D**********@**********S
(Full email address available in API data)
Industry Affiliates
| BRIAN CARROLL KELLEHER | Commodity pool operator or commodity trading advisor |
| DAVID MARC BERNS | Commodity pool operator or commodity trading advisor |
| FIONA HO | Commodity pool operator or commodity trading advisor |
| HARLEY BASSMAN | Commodity pool operator or commodity trading advisor |
| JOHN CHONG RYU | Commodity pool operator or commodity trading advisor |
| MICHAEL GREEN | Commodity pool operator or commodity trading advisor |
| PAUL SANG JIN KIM | Commodity pool operator or commodity trading advisor |
| SIMPLIFY EQLS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KIM, PAUL, SANG JIN | Individual | – | CO-FOUNDER, CHIEF EXECUTIVE OFFICER, & CHIEF COMPLIANCE OFFICER | 02/2020 | 25-50% |
| BERNS, DAVID, MARC | Individual | – | CO-FOUNDER, CHIEF INFORMATION OFFICER | 02/2020 | 25-50% |
| KELLEHER, BRIAN, CARROLL | Individual | – | CHIEF REVENUE OFFICER | 04/2021 | < 5% |
| HO, FIONA, CHI YU | Individual | – | CHIEF OPERATING OFFICER | 01/2021 | < 5% |
| RYU, JOHN | Individual | – | CHIEF FINANCIAL OFFICER | 06/2021 | < 5% |
| RICHARD KAYNE AND SUZANNA KAYNE LIVING TRUST | Domestic Entity | – | OWNER | 10/2023 | 10-25% |
| KAYNE, RICHARD, ALAN | Individual | RICHARD KAYNE AND SUZANNA KAYNE LIVING TRUST | TRUSTEE | 01/2022 |