NIKKO ASSET MANAGEMENT EUROPE LTD
Adviser information for NIKKO ASSET MANAGEMENT EUROPE LTD last updated from Form ADV on August 30th, 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 | United Kingdom |
Employees
| Total Number of Employees | 87 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 72 | $15.1B |
| Non-Discretionary | 9 | $721.4M |
| Total | 81 | $15.8B |
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 | 0 | $0 |
| Pension and profit sharing plans | 1 | $161.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 12 | $10.9B |
| Insurance companies | 2 | $1.4B |
| Sovereign wealth funds and foreign official institutions | 3 | $3.4B |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 89 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | Fixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-30801 |
|---|---|
| SEC ERA File Number | 801-30801 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111038 |
| Legal Entity Identifier | 549300O3VBBL7XXSXF49 |
Principal Office
LEVEL 5, CITY TOWER40 BASINGHALL STREET
LONDON
United Kingdom
Monday - Friday, 9:00AM TO 5:00PM
Tel: INTL + 44 207796 9866, Fax: INTL + 44 20 7796 9816
Chief Compliance Officer
CARL BALDWIN
CHIEF COMPLIANCE OFFICER
LEVEL 5, CITY TOWER
40 BASINGHALL STREET
LONDON
United Kingdom
Tel:
INTL + 44 203702 1005
Fax:
+44 (0) 207 796 9816
C***********@**********M
(Full email address available in API data)
Regulatory Contact
CLAIRE KIRKHAM
COMPLIANCE MANAGER
LEVEL 5, CITY TOWER
40 BASINGHALL STREET
LONDON
United Kingdom
Tel:
UK + 44 203 702 1040
Fax:
INTL + 44 20 7796 9816
C*************@**********M
(Full email address available in API data)
Industry Affiliates
| CUSTODY BANK OF JAPAN, LTD | Banking or thrift institutionTrust company |
| NIKKO AM GLOBAL CAYMAN LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NIKKO ASSET MANAGEMENT AMERICAS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NIKKO ASSET MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| NIKKO ASSET MANAGEMENT CO LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NIKKO ASSET MANAGEMENT HONG KONG LIMITED | Other investment adviser, including financial planners |
| NIKKO ASSET MANAGEMENT LUXEMBOURG S.A. | Sponsor, GP, manager of pooled investment vehicles |
| NIKKO ASSET MANAGEMENT NEW ZEALAND LIMITED | Other investment adviser, including financial planners |
| NIPPON INSTITUTIONAL SECURITIES CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RONGTONG FUND MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| RONGTONG GLOBAL INVESTMENT LIMITED | Other investment adviser, including financial planners |
| SBI SUMISHIN NET BANK, LTD. | Banking or thrift institution |
| SHEN ZHEN RONGTONG CAPITAL MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| SUMITOMO MITSUI TRUST ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SUMITOMO MITSUI TRUST BANK (LUXEMBOURG) S.A. | Banking or thrift institutionTrust company |
| SUMITOMO MITSUI TRUST BANK (U.S.A.) LIMITED | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| SUMITOMO MITSUI TRUST BANK, LIMITED | Other investment adviser, including financial plannersBanking or thrift institutionTrust companyPension consultantReal estate broker or dealerSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NIKKO AM GLOBAL HOLDINGS LIMITED | Foreign Entity | – | SHAREHOLDER | 03/1998 | > 75% |
| NIKKO ASSET MANAGEMENT CO., LTD. | Foreign Entity | NIKKO AM GLOBAL HOLDINGS LIMITED | SHAREHOLDER | 04/1999 | > 75% |
| SUMITOMO MITSUI TRUST HOLDINGS, INC. | Foreign Entity | SUMITOMO MITSUI TRUST BANK, LIMITED | SHAREHOLDER | 04/2012 | > 75% |
| Howland-Jackson, John, David | Individual | – | CHAIRMAN | 10/2020 | < 5% |
| Cruise, David, Anthony | Individual | – | DIRECTOR | 09/2018 | < 5% |
| BALDWIN, CARL, ALLAN | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2019 | < 5% |
| Basile, Cinzia | Individual | – | INDEPENDANT NON-EXECUTIVE DIRECTOR | 09/2019 | < 5% |
| RUDDEN, PATRICK, JOSEPH | Individual | – | INDEPENDANT NON-EXECUTIVE DIRECTOR | 09/2019 | < 5% |
| Goodall-Smith, Davina, May | Individual | – | DIRECTOR | 05/2020 | < 5% |
| Bluzmanis, Robert, John | Individual | – | CHIEF EXECUTIVE OFFICER | 05/2022 | < 5% |
| SUMITOMO MITSUI TRUST (HONG KONG) LIMITED | Foreign Entity | NIKKO ASSET MANAGEMENT CO., LTD. | SHAREHOLDER | 03/2021 | > 75% |
| Glover, Anthony, Stuart | Individual | – | DIRECTOR | 04/2023 | < 5% |
| NISHIDA, YUTAKA | Individual | – | DIRECTOR | 04/2023 | < 5% |
| Ikegaya, Jiro | Individual | – | DIRECTOR | 04/2023 | < 5% |