NOMURA ASSET MANAGEMENT U.S.A. INC.
NOMURA ASSET MANAGEMENT U.S.A. INC Legal Name
Adviser information for NOMURA ASSET MANAGEMENT U.S.A. INC. last updated from Form ADV on June 16th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 46 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $675.3M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $675.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $487.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $152.4M |
| Pension and profit sharing plans | <5 | $35.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSALES |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-12129 |
|---|---|
| SEC ERA File Number | 801-12129 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108222 |
| Legal Entity Identifier | 549300ZN36E1MEF7S595 |
Principal Office
WORLDWIDE PLAZA309 WEST 49TH STREET
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: (212) 667-1414, Fax: None
Websites
Chief Compliance Officer
NEIL A. DANIELE
MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER
WORLDWIDE PLAZA
309 WEST 49TH STREET
NEW YORK
NY
United States
Tel:
(212) 667-1873
N*******@***************M
(Full email address available in API data)
Regulatory Contact
BARBARA KELLER
DEPUTY CHIEF COMPLIANCE OFFICER
WORLDWIDE PLAZA
309 WEST 49TH STREET
NEW YORK
NY
United States
Tel:
(212) 667-9714
B******@***************M
(Full email address available in API data)
Industry Affiliates
| INSTINET, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| NEW FORESTS INC. | Other investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT EUROPE KVG MBH | Other investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT SINGAPORE LIMITED | Other investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT TAIWAN LTD. | Other investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT U.K. LIMITED | Other investment adviser, including financial planners |
| NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC | Other investment adviser, including financial planners |
| NOMURA SECURITIES INTERNATIONAL, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchantSponsor or syndicator of limited partnerships |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.) | Foreign Entity | NOMURA ASSET MANAGEMENT CO., LTD. | STOCKHOLDER | 12/1959 | > 75% |
| NOMURA ASSET MANAGEMENT CO., LTD. | Foreign Entity | – | SHAREHOLDER | 10/1997 | > 75% |
| DANIELE, NEIL, ANTHONY | Individual | – | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | 09/2004 | < 5% |
| ROBLES, AMY, JESSICA | Individual | – | TREASURER, CONTROLLER | 11/2013 | < 5% |
| NOMOTO, YUICHI | Individual | – | PRESIDENT, CEO, BOARD OF DIRECTOR | 04/2019 | < 5% |
| HIRAMATSU, GO | Individual | – | BOARD OF DIRECTOR | 07/2020 | < 5% |
| Masuda, Shinichi | Individual | – | CHIEF ADMINISTRATIVE OFFICER, BOARD OF DIRECTOR | 04/2023 | < 5% |