SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Monex Asset Management, Inc.
Houston, TX
CRD 148123
Firm filing updated July 10, 2026 ·
- $650.9MAssets
- 17Advisory staff
- 600Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Fixed feesYes
- Hourly chargesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- Performance-based feesNo
- OtherNo
Who the firm serves
- High net worth individuals351
- Individuals155
- Corporations or other businesses79
- Investment companies14
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | 155 | $70.9 million |
| High net worth individuals | 351 | $261.1 million |
| Investment companies | 14 | $80.6 million |
| Corporations or other businesses not listed above | 79 | $236.1 million |
| Other: "NON-PROFIT SCHOOL" | Fewer than 5 clients | $2.1 million |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$650.9 million
- Accounts600
- Discretionary$529.5 million · 468 accounts
- Non-discretionary$121.4 million · 132 accounts
People
- Employees20
- Advisory staff17
- Broker-dealer reps17
- Licensed insurance agents19
- Planning clients0
Advisors
9 advisors with a profile on Advisable
Listed A to Z by last name. Not a ranking.
Registration details
- SEC-registered investment advisor. CRD 148123, SEC file 801-120366.
- Registered with the SEC as an investment advisor (status date on record: February 22, 2021).
Is Monex Asset Management, Inc. a fiduciary?
Short answer: Monex Asset Management, Inc. is registered with the SEC as an investment advisor. Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
More detail
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 17 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
19 staff are licensed insurance agents and the firm is itself an insurance broker or agent.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.