Goldman Sachs Asset Management Co., Ltd.

Registered investment adviser · Minato-ku, Tokyo · CRD #283221

Form ADV data as of 2026-09-01

Regulatory assets

$71.83 billion

Total accounts

303

Employees

163

Disclosure events

Firm details

Website: https://www.linkedin.com/showcase/goldman-sachs-assetmanagement/
Telephone: 81-3-4587-6000
SEC file number: 801-107633
Most recent Form ADV filing: 2026-05-22
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 9 disclosure questions answered Yes, covering 35 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.

Charged with a felony (past 10 years)
SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
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)
Another regulator denied, suspended, or revoked a registration or restricted activity
A self-regulatory organization found a violation of its rules
An authorization to act as an attorney, accountant, or federal contractor was revoked or suspended

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$71.83 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$71.83 billion
Discretionary accounts	303
Non-discretionary accounts	0
Total accounts	303
Regulatory assets under management attributable to non-U.S. persons	$71.83 billion

People

Total employees (excluding clerical)	163
Employees performing investment advisory functions (including research)	86
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

How the firm is compensated

A percentage of assets under managementFixed fees (other than subscription fees)Performance-based feesOther

Advisory services offered

Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshops

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered municipal advisorRegistered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyInsurance company or agencyPension consultantSponsor, general partner, or managing member of pooled investment vehicles

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:

Recommends securities in which it has another proprietary interest
Brokers or dealers selected under 8.C.(3) are related persons
Receives soft dollar benefits
Provides employee compensation specifically for obtaining clients

Client types

Type of client	Clients	Assets
High net worth individuals	4	$34.3 million
Pooled investment vehicles (other than investment companies and BDCs)	203	$50.01 billion
Pension and profit sharing plans (not the participants or government plans)	40	$8.87 billion
Charitable organizations	1	$445
State or municipal government entities (including government pension plans)	4	$2.68 billion
Insurance companies	2	$10.00 billion
Corporations or other businesses not listed above	9	$234.4 million
Other	1	$2.3 million