MONEX ASSET MANAGEMENT, INC.
Adviser information for MONEX ASSET MANAGEMENT, INC. last updated from Form ADV on March 18th, 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 | DECEMBER |
| Legal Location | Texas, United States |
Employees
| Total Number of Employees | 20 |
|---|---|
| Investment Advisory/Research | 14 |
| Registered Broker-Dealer Representatives | 18 |
| Registered State Investment Advisers | 14 |
| Licensed Agents of an Insurance Company | 14 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 207 | $116.1M |
| Non-Discretionary | 93 | $84.8M |
| Total | 300 | $200.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 91 | $33.5M |
| HNW Individuals | 166 | $120.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| 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 | 42 | $46.0M |
| Other | <5 | $843,434 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 92 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed fees |
| Other Business Activities | Insurance broker or agent |
Identifiers
| SEC RIA File Number | 801-120366 |
|---|---|
| SEC ERA File Number | 801-120366 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 148123 |
| Legal Entity Identifier | None |
Principal Office
440 LOUISIANA STREETSUITE 1240
HOUSTON
TX
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 713-877-8234, Fax: 713-877-8381
Websites
Chief Compliance Officer
RUBEN CONTRERAS
440 LOUISIANA STREET
SUITE 1240
HOUSTON
TX
United States
Tel:
713-877-8234
Fax:
713-877-8381
R*********@***********M
(Full email address available in API data)
Industry Affiliates
| MONEX SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MONEX CASA DE BOLSA, S.A. DE C.V. | Foreign Entity | – | SHAREHOLDER | 07/2008 | > 75% |
| HEIRAS, JESUS | Individual | – | PRESIDENT, DESIGNATED OFFICER | 08/2008 | < 5% |
| LAGOS DONDE, HECTOR | Individual | FIDEICOMISO F/9846 BANCO MONEX SA IBM MONEX GRUPO FINANCIERO | CHAIRMAN OF THE BOARD | 04/2023 | |
| MONEX GRUPO FINANCIERO, S.A. DE C.V. | Foreign Entity | MONEX CASA DE BOLSA, S.A. DE C.V. | SHAREHOLDER | 07/2003 | > 75% |
| MONEX S.A.P.I. DE CV | Foreign Entity | MONEX GRUPO FINANCIERO, S.A. DE C.V. | SHAREHOLDER | 07/2007 | > 75% |
| CONTRERAS, RUBEN, DARIO | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2022 | < 5% |
| FIDEICOMISO F/9846 BANCO MONEX SA IBM MONEX GRUPO FINANCIERO | Foreign Entity | MONEX S.A.P.I. DE CV | SHAREHOLDER, TRUSTEE | 04/2023 | > 75% |