NOMURA PRIVATE CAPITAL LLC
Adviser information for NOMURA PRIVATE CAPITAL LLC last updated from Form ADV on March 12th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 1 | $100.6M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $100.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $100.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Principal Office
309 WEST 49TH STREETNEW YORK
NY
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: 212-667-9131, Fax: None
Chief Compliance Officer
DOUGLAS TYRE
140 E 45TH STREET
29TH FLOOR
NEW YORK
NY
United States
Tel:
484-588-2113
D********@************M
(Full email address available in API data)
Regulatory Contact
MATTHEW NELSON
CHIEF OPERATING OFFICER
309 WEST 49TH STREET
NEW YORK
NY
United States
Tel:
212-667-9131
M*************@*********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 |
| NOMURA ASSET MANAGEMENT U.S.A. INC. | Other investment adviser, including financial planners |
| NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| 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 AMERICA INC. | Domestic Entity | – | OWNER | 10/2022 | > 75% |
| Pallai, Matthew, Gian | Individual | – | CHIEF INVESTMENT OFFICER | 10/2022 | < 5% |
| STARK, ROBERT, NMN | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2022 | < 5% |
| NELSON, MATTHEW, JAMES | Individual | – | CHIEF OPERATING OFFICER | 10/2022 | < 5% |
| NOMURA HOLDING INC. | Foreign Entity | NOMURA HOLDINGS AMERICA INC. | SHAREHOLDER | 10/2001 | > 75% |
| TYRE, DOUGLAS, NELSON | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |