NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC
Adviser information for NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT 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 | Delaware, United States |
Employees
| Total Number of Employees | 47 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 2 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 71 | $30.1B |
| Non-Discretionary | 2 | $298.0M |
| Total | 73 | $30.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 4 | $2.4B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 31 | $12.2B |
| Pension and profit sharing plans | 10 | $2.8B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 17 | $8.7B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 7 | $413.3M |
| Sovereign wealth funds and foreign official institutions | <5 | $3.9B |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 55 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-38965 |
|---|---|
| SEC ERA File Number | 801-38965 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110411 |
| Legal Entity Identifier | KWEQRKOXHSILUL8AQG52 |
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) 667-9000, Fax: None
Websites
Chief Compliance Officer
NEIL A. DANIELE
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
| GLOBAL FUNDS MANAGEMENT, S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| GLOBAL FUNDS TRUST COMPANY | Trust companySponsor, GP, manager of pooled investment vehicles |
| INSTINET, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| NOMURA ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| 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 plannersSponsor, GP, manager of pooled investment vehicles |
| NOMURA ASSET MANAGEMENT U.S.A. INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NOMURA BANK (LUXEMBOURG) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institution |
| 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 |
| THE NOMURA TRUST & BANKING CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerBanking or thrift institutionTrust companySponsor, 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 |
|---|---|---|---|---|---|
| NOMURA HOLDING AMERICA, INC. | Domestic Entity | – | SHAREHOLDER | 03/1991 | > 75% |
| NOMURA HOLDINGS, INC. | Foreign Entity | – | SHAREHOLDER | 10/2001 | < 5% |
| WONG, JENNIE, H | Individual | – | MANAGING DIRECTOR, CHIEF ADMINISTRATOR OFFICER | 04/2020 | < 5% |
| NOMURA HOLDINGS, INC. | Foreign Entity | NOMURA HOLDING AMERICA INC. | INDIRECT OWNER | 10/2001 | > 75% |
| CRALL, DAVID, OWEN | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF INVESTMENT OFFICER, MANAGING DIRECTOR, BOARD OF DIRECTOR | 06/2019 | < 5% |
| KOTSEN, STEPHEN, SPENCER | Individual | – | MANAGING DIRECTOR AND PORTFOLIO MANAGER | 06/2005 | < 5% |
| CHANG, AMY, YU | Individual | – | MANAGING DIRECTOR AND PORTFOLIO MANAGER | 05/2019 | < 5% |
| DANIELE, NEIL, ANTHONY | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2009 | < 5% |
| NOMOTO, YUICHI | Individual | – | BOARD OF DIRECTOR | 04/2019 | < 5% |
| Shuster, Eugene | Individual | – | MANAGING DIRECTOR - HEAD OF RISK | 04/2021 | < 5% |
| Hawthorne, Melanie | Individual | – | HEAD OF LEGAL | 06/2021 | < 5% |
| ALOUPIS, STEVEN, NICHOLAS | Individual | – | BOARD OF DIRECTOR | 10/2022 | < 5% |
| Namura, Yoshihiro | Individual | – | BOARD OF DIRECTOR, CHAIRPERSON | 10/2022 | < 5% |
| stroemer, meno, volker | Individual | – | MANAGING DIRECTOR, PORTFOLIO MANAGER | 01/2023 | < 5% |