Monex Asset Management, Inc.
Registered investment adviser · Houston, TX · CRD #148123
Form ADV data as of 2026-09-01Regulatory assets
$650.9 million
Total accounts
600
Employees
20
Disclosure events
10
Firm details
- Website: https://www.monexsec.com/
- Telephone: 713-877-8234
- SEC file number: 801-120366
- Most recent Form ADV filing: 2026-07-10
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 5 disclosure questions answered Yes, covering 10 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.
- SEC or CFTC found a violation of its regulations or statutes
- SEC or CFTC imposed a civil money penalty or a cease-and-desist order
- A self-regulatory organization found a false statement or omission
- A self-regulatory organization found a violation of its rules
- A self-regulatory organization expelled, suspended, barred, or restricted the firm
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $529.5 million |
| Non-discretionary regulatory assets under management | $121.4 million |
| Total regulatory assets under management | $650.9 million |
| Discretionary accounts | 468 |
| Non-discretionary accounts | 132 |
| Total accounts | 600 |
| Regulatory assets under management attributable to non-U.S. persons | $570.0 million |
People
| Total employees (excluding clerical) | 20 |
| Employees performing investment advisory functions (including research) | 17 |
| Employees who are registered representatives of a broker-dealer | 17 |
| Employees registered as investment adviser representatives with a state | 17 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 19 |
| Firms or persons who solicit advisory clients on the firm's behalf | 4 |
Custody
| Has custody of client cash or bank accounts | Yes |
| Has custody of client securities | Yes |
| Client funds and securities held in the firm's custody | $7.5 million |
| Clients for whom the firm has custody | 15 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
| 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 or sells for itself securities it also recommends to clients
- Brokers or dealers selected under 8.C.(3) are related persons
- Recommends brokers or dealers to clients
- Brokers or dealers recommended under 8.E. are related persons
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Individuals (other than high net worth individuals) | 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 | Not reported | $2.1 million |