DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC.
Adviser information for DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC. last updated from Form ADV on December 1st, 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 | Delaware, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 2 | $187.9M |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $187.9M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $187.9M |
| 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 | 2 |
| No. of Non-U.S. Clients | 50 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-128802 |
|---|---|
| SEC ERA File Number | 801-128802 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 307581 |
| Legal Entity Identifier | None |
Principal Office
228 HAMILTON AVENUE3RD FLOOR
PALO ALTO
CA
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 650-395-2863, Fax: None
Chief Compliance Officer
RYOTA KOMATSU
CHIEF COMPLIANCE OFFICER
228 HAMILTON AVENUE
3RD FLOOR
PALO ALTO
CA
United States
Tel:
650-395-1173
K******@***********M
(Full email address available in API data)
Regulatory Contact
SHINGO SASAHARA
PRESIDENT
228 HAMILTON AVENUE
3RD FLOOR
PALO ALTO
CA
United States
Tel:
650-395-2863
S*******@***********M
(Full email address available in API data)
Industry Affiliates
| DAIWA SECURITIES CO. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WILSP I GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| WILSP II GP, L.P. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| WIL STRATEGIC PARTNERS I, L.P. | Venture Capital Fund | $98.1M | $5.0M | 7 |
| WIL STRATEGIC PARTNERS II, L.P. | Venture Capital Fund | $89.8M | $0.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DAIWA ASSET MANAGEMENT CO. LTD. | Foreign Entity | – | SHARE HOLDER | 01/2020 | > 75% |
| DAIWA SECURITIES GROUP INC. | Foreign Entity | DAIWA ASSET MANAGEMENT CO. LTD. | SHARE HOLDER | 08/1999 | > 75% |
| SASAHARA, SHINGO, NMN | Individual | – | PRESIDENT | 08/2021 | < 5% |
| KOMATSU, RYOTA, NMN | Individual | – | CHIEF COMPLIANCE OFFICER | 06/2023 | < 5% |