SAMSUNG ASSET MANAGEMENT (NEW YORK), INC.
Adviser information for SAMSUNG ASSET MANAGEMENT (NEW YORK), INC. last updated from Form ADV on March 7th, 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 | New Jersey, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 8 |
| 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 | 17 | $6.2B |
| Non-Discretionary | 0 | $0 |
| Total | 17 | $6.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $150.3M |
| 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 | <5 | $5.9B |
| Insurance companies | <5 | $132.3M |
| 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 | 97 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)MARKET ANALYSIS |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-64024 |
|---|---|
| SEC ERA File Number | 801-64024 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 133827 |
| Legal Entity Identifier | 254900OGD0ZUW8MMR114 |
Principal Office
152 WEST 57TH STREET, 9TH FLOORNEW YORK
NY
United States
Monday - Friday, 9:00 A.M TO 5:00 P.M.
Tel: 212-421-6800, Fax: 212-421-4211
Chief Compliance Officer
JENNIFER SHIN
CREDIT RESEARCH ANALYST AND CHIEF COMPLIANCE OFFICER
152 WEST 57TH STREET, 9TH FLOOR
NEW YORK
NY
United States
Tel:
212-421-3151
Fax:
212-421-4211
J************@**********M
(Full email address available in API data)
Industry Affiliates
| SAMSUNG ACTIVE ASSET MANAGEMENT, LTD. | Other investment adviser, including financial planners |
| SAMSUNG ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| SAMSUNG ASSET MANAGEMENT (LONDON), LTD. | Other investment adviser, including financial planners |
| SAMSUNG ASSET MANAGEMENT COMPANY, LTD. | Other investment adviser, including financial planners |
| SAMSUNG HEDGE ASSET MANAGEMENT, LTD. | Other investment adviser, including financial planners |
| SAMSUNG LIFE INSURANCE CO., LTD. | Insurance company or agency |
| SAMSUNG SECURITIES (AMERICA), INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SAMSUNG SECURITIES CO., LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SAMSUNG SRA ASSET MANAGEMENT, LTD. | 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 |
|---|---|---|---|---|---|
| SAMSUNG ASSET MANAGEMENT COMPANY, LTD. | Foreign Entity | – | OWNER | 02/2015 | > 75% |
| SAMSUNG LIFE INSURANCE CO., LTD. | Foreign Entity | SAMSUNG ASSET MANAGEMENT COMPANY, LTD. | OWNER | 02/2015 | > 75% |
| Shin, Jennifer, Haejung | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2017 | < 5% |
| Lee, Jin A, NMN | Individual | – | PRESIDENT AND CHIEF INVESTMENT OFFICER | 01/2023 | < 5% |
| SUH, CHAEHACK, NMN | Individual | – | CHIEF FINANCIAL OFFICER | 11/2023 | < 5% |