Asset Management One Co., Ltd.
Registered investment adviser · Tokyo · CRD #110843
Form ADV data as of 2026-09-01Regulatory assets
$470.54 billion
Total accounts
1,741
Employees
950
Disclosure events
3
Firm details
- Website: https://www.am-one.co.jp/english/contact/
- Telephone: 81-3-6774-5000
- SEC file number: 801-55047
- Most recent Form ADV filing: 2026-06-29
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 2 disclosure questions answered Yes, covering 3 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Another regulator entered an order in connection with investment-related activity (past 10 years)
- A court found involvement in a violation of investment-related statutes or regulations
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $470.54 billion |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $470.54 billion |
| Discretionary accounts | 1,741 |
| Non-discretionary accounts | 0 |
| Total accounts | 1,741 |
| Regulatory assets under management attributable to non-U.S. persons | $470.54 billion |
People
| Total employees (excluding clerical) | 950 |
| Employees performing investment advisory functions (including research) | 290 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $247.90 billion |
| Clients for whom a related person has custody | 1,233 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 1 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys securities from or sells securities to advisory clients (principal transactions)
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Executes agency cross transactions involving advisory client securities
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Brokers or dealers selected under 8.C.(3) are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Receives compensation from others for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Banking or thrift institutions | 17 | $316.9 million |
| Pooled investment vehicles (other than investment companies and BDCs) | 942 | $138.08 billion |
| Pension and profit sharing plans (not the participants or government plans) | 321 | $56.18 billion |
| Charitable organizations | 30 | $1.88 billion |
| State or municipal government entities (including government pension plans) | 16 | $249.18 billion |
| Other investment advisers | 11 | $2.20 billion |
| Insurance companies | 9 | $9.91 billion |
| Sovereign wealth funds and foreign official institutions | 1 | $7.76 billion |
| Corporations or other businesses not listed above | 59 | $5.03 billion |