Assets under management Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total AUM
Total Accounts
10Y AUM Change
Private Funds
Private funds reported by Sumitomo Mitsui Ds Asset Management Company, Limited
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Employee Growth by Quarter
Quarterly points use the latest ADV filing or SEC roster snapshot available in each quarter.
Total Employees
Clients per Employee
10Y Employee Change
Historical AUM and employee figures reflect available SEC Form ADV filings under this CRD. Filing gaps may reflect registration status changes, dormant periods, state registration periods, firm restructuring, or other reporting changes. Rialytix does not interpolate missing periods.
Ownership
Reported direct and indirect ownership ranges
Each range applies to a separate reported relationship and should not be added together.
Reported ownership ranges
Highlighted bands show the percentage range reported in Form ADV.
0%25%50%75%100%
SUMITOMO MITSUI FINANCIAL GROUP, INC.Direct owner · Schedule AInterest in SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED
50% to < 75%
DAIWA SECURITIES GROUP INC.Direct owner · Schedule AInterest in SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED
10% to < 25%
MITSUI SUMITOMO INSURANCE COMPANY, LIMITEDDirect owner · Schedule AInterest in SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED
10% to < 25%
SUMITOMO LIFE INSURANCE COMPANYDirect owner · Schedule AInterest in SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED
10% to < 25%
SUMITOMO MITSUI TRUST BANK, LIMITEDDirect owner · Schedule AInterest in SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED
< 5%
Bars represent the reported range at that individual ownership step, not an estimated percentage of the advisory firm. Indirect relationships may refer to intermediate entities rather than directly to Sumitomo Mitsui Ds Asset Management Company, Limited.
No indirect ownership information reported in the source’s Schedule B.
Reported ownership and control details
Form ADV · Filing date 2026-08-20 · Schedules A and B
| # | Owner / person & role | Interest in entity | Reported interest | Control person | Title / status acquired | Source |
|---|---|---|---|---|---|---|
| 1 | DAIWA SECURITIES GROUP INC.SHAREHOLDERForeign entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | 10% to less than 25%Code B | No | SHAREHOLDER04/1999 | Schedule APDF page 28 |
| 2 | SUMITOMO MITSUI TRUST BANK, LIMITEDSHAREHOLDERForeign entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | No | SHAREHOLDER04/1999 | Schedule APDF page 28 |
| 3 | SUMITOMO MITSUI FINANCIAL GROUP, INC.PARENT COMPANYForeign entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | 50% to less than 75%Code D | Yes | PARENT COMPANY02/2003 | Schedule APDF page 28 |
| 4 | MITSUI SUMITOMO INSURANCE COMPANY, LIMITEDSHAREHOLDERForeign entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | 10% to less than 25%Code B | No | SHAREHOLDER12/2002 | Schedule APDF page 28 |
| 5 | SUMITOMO LIFE INSURANCE COMPANYSHAREHOLDERForeign entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | 10% to less than 25%Code B | No | SHAREHOLDER12/2002 | Schedule APDF page 28 |
| 6 | TSUNETO IKIDEPUTY PRESIDENT EXCUTIVE OFFICER AND COOIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DEPUTY PRESIDENT EXCUTIVE OFFICER AND COO04/2025 | Schedule APDF page 28 |
| 7 | OSAMU UEYAMADIRECTOR AND SENIOR MANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DIRECTOR AND SENIOR MANAGING EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 8 | KOICHI KINOSHITAMANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | MANAGING EXECUTIVE OFFICER04/2020 | Schedule APDF page 28 |
| 9 | TAKENARI SUZUKIMANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | MANAGING EXECUTIVE OFFICER04/2020 | Schedule APDF page 28 |
| 10 | Tsuyoshi NiijimaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2021 | Schedule APDF page 28 |
| 11 | Tomonobu MatsuiCHIEF COMPLIANCE OFFICER, DIRECTOR AND MANADING EXECUTIVE OFFIERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | CHIEF COMPLIANCE OFFICER, DIRECTOR AND MANADING EXECUTIVE OFFIER04/2024 | Schedule APDF page 28 |
| 12 | Hiroko SasakiDIRECTOR (OUTSIDE)Individual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DIRECTOR (OUTSIDE)10/2022 | Schedule APDF page 28 |
| 13 | Naoto NagaiSENIOR MANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | SENIOR MANAGING EXECUTIVE OFFICER04/2025 | Schedule APDF page 28 |
| 14 | Tomonori HoriEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2023 | Schedule APDF page 28 |
| 15 | WATARU OGIHARAREPRESENTATIVE DIRECTOR, PRESIDENT AND CEOIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | REPRESENTATIVE DIRECTOR, PRESIDENT AND CEO04/2025 | Schedule APDF page 28 |
| 16 | SHIKO YANAGISAWADIRECTOR AND DEPUTY PRESIDENT EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DIRECTOR AND DEPUTY PRESIDENT EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 17 | Yasuko KitoEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 18 | Kenji SonodaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 19 | Yasuhiro HaradaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 20 | Yuko TsuchiyaMANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | MANAGING EXECUTIVE OFFICER04/2024 | Schedule APDF page 28 |
| 21 | NAOYA ORIMEDIRECTOR(OURSIDE)Individual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DIRECTOR(OURSIDE)06/2024 | Schedule APDF page 28 |
| 22 | Yoshiharu TakedaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2025 | Schedule APDF page 28 |
| 23 | Katsuro OkuzumiEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2025 | Schedule APDF page 28 |
| 24 | Kenji UmaokaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2025 | Schedule APDF page 28 |
| 25 | Ryota KurashigeEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2025 | Schedule APDF page 28 |
| 26 | Miki OikawaDIRECTOR (OUTSIDE)Individual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | DIRECTOR (OUTSIDE)06/2025 | Schedule APDF page 28 |
| 27 | Tetsuji YasunagaMANAGING EXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | MANAGING EXECUTIVE OFFICER04/2026 | Schedule APDF page 28 |
| 28 | Kuniaki MatsuoEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2026 | Schedule APDF page 28 |
| 29 | Yasunori SagaEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2026 | Schedule APDF page 28 |
| 30 | Naruaki MatsumotoEXECUTIVE OFFICERIndividual | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Less than 5%Code NA | Yes | EXECUTIVE OFFICER04/2026 | Schedule APDF page 28 |
Less than 5% may include zero. Code F identifies a role without specifying a percentage. Reported interests may overlap and may not include every owner. Total indirect ownership is not calculated.
Compliance & Disclosures
Filing dated 8/20/2026 8:05:05 PM
Responses were selected by the RIA in its filing. Questions are shortened for readability; “you” refers to the reporting firm, and some questions also cover advisory affiliates.
RIA or supervised-person involvementThe RIA reported that none of the events below involve the firm or its supervised persons.RIA responseNo
AFelonies2 No
In the past ten years, have you or any advisory affiliate:
- A1Been convicted of or pleaded guilty or no contest to a felony?No
- A2Been charged with a felony?No
BMisdemeanors2 No
In the past ten years, have you or any advisory affiliate:
- B1Been convicted of or pleaded guilty or no contest to a misdemeanor involving investments, an investment-related business, fraud, false statements or omissions, wrongful taking of property, bribery, perjury, forgery, counterfeiting, or extortion?No
- B2Been charged with a misdemeanor of the kind listed above?No
CSEC or CFTC actions5 No
Has the SEC or CFTC ever:
- C1Found you or an advisory affiliate made a false statement or omission?No
- C2Found you or an advisory affiliate violated SEC or CFTC regulations or statutes?No
- C3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- C4Entered an order against you or an advisory affiliate in connection with investment-related activity?No
- C5Imposed a civil money penalty on you or an advisory affiliate, or ordered you or an advisory affiliate to cease and desist from any activity?No
DOther regulatory actions5 No
Has any other federal regulatory agency, state regulatory agency, or foreign financial regulatory authority ever:
- D1Found you or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?No
- D2Found you or an advisory affiliate violated investment-related regulations or statutes?No
- D3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- D4In the past ten years, entered an order against you or an advisory affiliate in connection with investment-related activity?No
- D5Denied, suspended, or revoked your or an advisory affiliate’s registration or license, or otherwise prevented association with an investment-related business or restricted activities?No
ESelf-regulatory organization actions4 No
Has a self-regulatory organization or commodities exchange ever:
- E1Found you or an advisory affiliate made a false statement or omission?No
- E2Found you or an advisory affiliate violated its rules, other than a violation designated as a minor rule violation under an SEC-approved plan?No
- E3Found you or an advisory affiliate caused an investment-related business to have its authorization to do business denied, suspended, revoked, or restricted?No
- E4Disciplined you or an advisory affiliate by expulsion, suspension, barring association with other members, or otherwise restricting activities?No
FProfessional authorizations1 No
- FHas an authorization to act as an attorney, accountant, or federal contractor granted to you or an advisory affiliate ever been revoked or suspended?No
GPending regulatory proceedings1 No
- GAre you or any advisory affiliate now the subject of a regulatory proceeding that could result in a “Yes” answer to any part of C, D, or E?No
HCivil judicial actions and proceedings4 No
(1) Court actions
Has a domestic or foreign court:
- H(1)(a)In the past ten years, enjoined you or an advisory affiliate in connection with investment-related activity?No
- H(1)(b)Found that you or an advisory affiliate violated investment-related statutes or regulations?No
- H(1)(c)Dismissed, pursuant to a settlement agreement, an investment-related civil action brought against you or an advisory affiliate by a state or foreign financial regulatory authority?No
(2) Pending civil proceedings
- H(2)Are you or any advisory affiliate now the subject of a civil proceeding that could result in a “Yes” answer to any part of H(1)?No
* Metrics are based on the latest available data, including Form ADV filings, brochures, and relationship summaries pulled from the SEC IAPD, and may be subject to change. Learn what is included in the Rialytix data. Please refer to the firm's official disclosures for the most accurate information using their CRD number. This is not investment advice.