Samsung Asset Management (New York), Inc.

Registered investment adviser · New York, NY · CRD #133827

Form ADV data as of 2026-09-01

Regulatory assets

$8.17 billion

Total accounts

Employees

Disclosure events

Firm details

Website: https://www.linkedin.com/company/samny
Telephone: 212-421-6800
SEC file number: 801-64024
Most recent Form ADV filing: 2026-03-25
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 6 disclosure questions answered Yes, covering 33 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.

Convicted of or pled guilty/no contest to an investment-related misdemeanor (past 10 years)
Charged with an investment-related misdemeanor (past 10 years)
Another regulator found a false statement, omission, or dishonest, unfair, or unethical conduct
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$8.17 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$8.17 billion
Discretionary accounts	25
Non-discretionary accounts	0
Total accounts	25
Regulatory assets under management attributable to non-U.S. persons	$7.74 billion

People

Total employees (excluding clerical)	13
Employees performing investment advisory functions (including research)	11
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	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

A percentage of assets under management

Advisory services offered

Portfolio management for investment companiesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Other

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Insurance company or agency

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
Receives soft dollar benefits

Client types

Type of client	Clients	Assets
Investment companies	1	$391.0 million
Other investment advisers	1	$7.61 billion
Insurance companies	2	$167.8 million