SIMPLIFY ASSET MANAGEMENT INC.

UUID04bf5054-69e7-5cd1-a193-6ab767803c99

TypeASSET_MANAGER

Status—

Created2025-10-23 02:23:54

Updated2025-10-23 02:24:37

SEC Form ADV (XLSX Metrics)

Loads advanced metrics from the monthly IAPD XLSX exports (RAUM breakdown, client mix, service flags) into the adv_metrics table.

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SEC Form ADV Part 1 (Bulk)

Loads Form ADV Part 1 bulk data from the local CSV snapshot. Includes headquarters info, aliases, control persons, and evidence links.

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Authority	Identifier	Display	As Of	Confidence
adv_crd	309535	309535	—	1.0
cik	0001752724	1752724	—	—
lei	549300E3XNKOUYLNJO28	549300E3XNKOUYLNJO28	—	—
sec_file_number	801-119255	801-119255	—	—

HQ CityLAS VEGAS

HQ StateNV

HQ CountryUnited States

AUM (USD)—

AUM As OfNone

As of 2025-05-07 00:00:00 • Source ia09022025.xlsx

Name	Title	Role	Email	Evidence
BERNS, DAVID, MARC	CO-FOUNDER, CHIEF INFORMATION OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "6004573", "source": "adv_part1", "table": "Schedule_A_B"}
HO, FIONA, CHI YU	CHIEF OPERATING OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "4912086", "source": "adv_part1", "table": "Schedule_A_B"}
KAYNE, RICHARD, ALAN	TRUSTEE	OFFICER	—	{"filing_id": "2009669", "owner_id": "265609", "source": "adv_part1", "table": "Schedule_A_B"}
KELLEHER, BRIAN, CARROLL	CHIEF REVENUE OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "2761242", "source": "adv_part1", "table": "Schedule_A_B"}
KIM, PAUL, SANG JIN	CO-FOUNDER, CHIEF EXECUTIVE OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "2947075", "source": "adv_part1", "table": "Schedule_A_B"}
MOORE, ALBERT, ASHOK	CHIEF COMPLIANCE OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "6007672", "source": "adv_part1", "table": "Schedule_A_B"}
RYU, JOHN	CHIEF FINANCIAL OFFICER	OFFICER	—	{"filing_id": "2009669", "owner_id": "7640024", "source": "adv_part1", "table": "Schedule_A_B"}
RICHARD KAYNE AND SUZANNA KAYNE LIVING TRUST	OWNER	EMPLOYEE	—	{"filing_id": "2009669", "owner_id": null, "source": "adv_part1", "table": "Schedule_A_B"}

Relation	Organization	Last Updated	Evidence
No outbound affiliations.

Relation	Organization	Last Updated	Evidence
No inbound affiliations.