MONEX ASSET MANAGEMENT, INC. of HOUSTON, TX is an SEC-registered investment adviser (CRD 148123). Regulatory assets under management: $650.9M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles.
| Name | Role | Location |
|---|---|---|
| Hector Lagos Donde | CHAIRMAN OF THE BOARD | — |
| Cesar Ivan Iii Cazares Cuevas | CHIEF COMPLIANCE OFFICER & AML OFFICER | — |
| Ruben Dario Contreras | PRESIDENT, CEO AND CFO | — |
| LAGOS CUE HECTOR | CHAIRMAN OF THE BOARD; DIRECTOR; PRESIDENT/BOARD OF DIRECTORS | — |
| RAMOS LANDERO JORGE MARTIN | PRESIDENT/CHIEF COMPLIANCE OFFICER | — |
| HEIRAS JESUS | PRESIDENT, DESIGNATED OFFICER; SHAREHOLDER, PRESIDENT, CHIEF COMPLIANCE OFFICER, DESIGNATED OFFICER; SHAREHOLDER, PRESIDENT, DESIGNATED OFFICER (+2 more) | — |
| BALCAZAR JOSE CARLOS | DESIGNATED OFFICER | — |
| CONTRERAS RUBEN DARIO | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-04-12 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASEAND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST MONEX ASSET MANAGEMENT, INC. ("MONEX" OR "RESPONDENT"). IN ANTICIPATION OF THE INSTITUTION OF THESE… | Final | $30K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| SAN DIEGO | CA | 2 | 713-877-8234 |
| SAN ANTONIO | TX | 2 | 7138778234 |