FIL INVESTMENTS (JAPAN) LIMITED
Adviser information for FIL INVESTMENTS (JAPAN) LIMITED last updated from Form ADV on November 14th, 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 | DECEMBER |
| Legal Location | Japan |
Employees
| Total Number of Employees | 246 |
|---|---|
| Investment Advisory/Research | 52 |
| 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 | 0 | $0 |
| Non-Discretionary | 0 | $0 |
| Total | 0 | $0 |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $0 |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $0 |
| Corporations or other businesses | <5 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesA % OF FEE REC'D BY ADVISOR RETAINING REGISTRANT OR 100% OF COST |
Identifiers
| SEC RIA File Number | 801-45731 |
|---|---|
| SEC ERA File Number | 801-45731 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110938 |
| Legal Entity Identifier | None |
Principal Office
TRI-SEVEN ROPPONGI7-7-7 ROPPONGI, MINATO-KU
TOKYO
Japan
Monday - Friday, 9:00AM-5:00PM
Tel: 00813-4560-6000, Fax: None
Chief Compliance Officer
TETSURO KUBO
HEAD OF COMPLIANCE, JAPAN
TRI-SEVEN ROPPONGI
7-7-7 ROPPONGI, MINATO-KU
TOKYO
Japan
Tel:
00813-4560-6274
Fax:
00813-5470-4006
T***********@******M
(Full email address available in API data)
Regulatory Contact
KEIRA PETTY
HEAD OF BERMUDA COMPLIANCE
42 CROW LANE
PEMBROKE
Bermuda
Tel:
00441-297-7215
Fax:
00441-295-9373
K**********@******M
(Full email address available in API data)
Industry Affiliates
| FIAM LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| FIDELITY GESTION | Other investment adviser, including financial planners |
| FIDELITY INSTITUTIONAL ASSET MANAGEMENT TRUST COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorTrust company |
| FIDELITY INVESTMENTS CANADA ULC | Other investment adviser, including financial planners |
| FIDELITY MANAGEMENT & RESEARCH COMPANY LLC | Other investment adviser, including financial planners |
| FIL (LUXEMBOURG) S.A. | Other investment adviser, including financial planners |
| FIL ASSET MANAGEMENT (KOREA) LIMITED | Other investment adviser, including financial planners |
| FIL FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| FIL INVESTMENT ADVISORS | Other investment adviser, including financial planners |
| FIL INVESTMENT ADVISORS (UK) LTD. | Other investment adviser, including financial planners |
| FIL INVESTMENT MANAGEMENT (AUSTRALIA) LIMITED | Other investment adviser, including financial planners |
| FIL INVESTMENT MANAGEMENT (HONG KONG) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| FIL INVESTMENT MANAGEMENT (SINGAPORE) LIMITED | Other investment adviser, including financial planners |
| FIL INVESTMENT SERVICES (UK) LIMITED | Other investment adviser, including financial planners |
| FIL INVESTMENTS INTERNATIONAL | Other investment adviser, including financial planners |
| FIL LIMITED | Other investment adviser, including financial planners |
| FIL PENSIONS MANAGEMENT | Other investment adviser, including financial planners |
| FIL SECURITIES (JAPAN) KK | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| NATIONAL FINANCIAL SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| STRATEGIC ADVISERS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PANDANUS PARTNERS, L.P. | Domestic Entity | FIL LIMITED | SHAREHOLDER (CLASS B COMMON) | 09/1990 | 25-50% |
| PANDANUS ASSOCIATES, INC. | Domestic Entity | PANDANUS PARTNERS, L.P. | GENERAL PARTNER | 09/1990 | |
| FIL JAPAN HOLDINGS KK | Foreign Entity | – | SHAREHOLDER | 10/2004 | > 75% |
| FIL LIMITED | Foreign Entity | FIL ASIA HOLDINGS PTE LIMITED | SHAREHOLDER | 12/2008 | 25-50% |
| FIL JAPAN HOLDINGS (SINGAPORE) PTE. LIMITED | Foreign Entity | FIL JAPAN HOLDINGS KK | SHAREHOLDER | 04/2009 | 50-75% |
| KUBO, TETSURO | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2010 | < 5% |
| FIL ASIA HOLDINGS PTE LIMITED | Foreign Entity | FIL JAPAN HOLDINGS (SINGAPORE) PTE. LIMITED | SHAREHOLDER | 01/2009 | 25-50% |
| YOUNG, DEREK, LANE | Individual | – | DIRECTOR | 01/2019 | < 5% |
| KASHIMA, MIYUKI | Individual | – | DIRECTOR | 03/2022 | < 5% |
| LI, LYDIA | Individual | – | DIRECTOR | 03/2022 | < 5% |
| LI, MAY, HUI MEI | Individual | – | DIRECTOR | 03/2022 | < 5% |
| WADA, HIROMI | Individual | – | DIRECTOR | 11/2022 | < 5% |
| MAEOKA, NOBUYUKI | Individual | – | DIRECTOR | 11/2022 | < 5% |