NIKKO ASSET MANAGEMENT CO LTD
Adviser information for NIKKO ASSET MANAGEMENT CO LTD last updated from Form ADV on January 15th, 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 | Corporation |
|---|---|
| Fiscal Year End | MARCH |
| Legal Location | Japan |
Employees
| Total Number of Employees | 600 |
|---|---|
| Investment Advisory/Research | 140 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 400 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 956 | $192.1B |
| Non-Discretionary | 0 | $0 |
| Total | 956 | $192.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $28.0M |
| Investment companies | 1 | $88.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 873 | $177.9B |
| Pension and profit sharing plans | 69 | $7.6B |
| Charitable organizations | <5 | $45.7M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $1.4B |
| Sovereign wealth funds and foreign official institutions | <5 | $5.1B |
| Corporations or other businesses | <5 | $0 |
| Other | <5 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 99 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisorDIRECT SALES OF PRIVATE OFFERED INVESTMENT TRUSTS |
Principal Office
MIDTOWN TOWER, 9-7-1 AKASAKAMINATO-KU
TOKYO
Japan
Monday - Friday, 08:40-17:10
Tel: 81-3-6447-6000, Fax: 81-3-6447-6001
Websites
Chief Compliance Officer
MARIKO MATSUI
CHIEF LEGAL OFFICER
MIDTOWN TOWER, 9-7-1 AKASAKA
MINATO-KU
TOKYO
Japan
Tel:
81-3-6447-6733
Fax:
81-3-6447-6851
M************@**********M
(Full email address available in API data)
Regulatory Contact
MINA MYOKAKU
COMPLIANCE OFFICER
MIDTOWN TOWER, 9-7-1 AKASAKA
MINATO-KU
TOKYO
Japan
Tel:
81-3-6447-6625
Fax:
81-3-6447-6851
M***********@**********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 EUROPE LTD | Other investment adviser, including financial planners |
| 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 |
|---|---|---|---|---|---|
| SIMES, NATHAN, PARKER | Individual | – | DIRECTOR | 05/2015 | < 5% |
| IWAMA, YOICHIRO | Individual | – | DIRECTOR | 05/2018 | < 5% |
| Yamauchi, Mari | Individual | – | DIRECTOR | 08/2018 | < 5% |
| Ryu, Kiyotaka | Individual | – | CHIEF ADMINISTRATIVE OFFICER | 10/2021 | < 5% |
| Asai, Kunihiro | Individual | – | SENIOR CORPORATE OFFICER, CHIEF RISK OFFICER | 05/2019 | < 5% |
| Drews, Stefanie | Individual | – | REPRESENTATIVE DIRECTOR, PRESIDENT AND COO | 04/2022 | < 5% |
| Tago, Shinya | Individual | – | DIRECTOR | 06/2019 | < 5% |
| Sogabe, Mihoko | Individual | – | DIRECTOR | 06/2019 | < 5% |
| SUMITOMO MITSUI TRUST HOLDINGS, INC. | Foreign Entity | – | SHAREHOLDER | 07/2019 | > 75% |
| NISHIDA, YUTAKA | Individual | – | REPRESENTATIVE DIRECTOR AND CHAIRMAN | 04/2022 | < 5% |
| Okumura, Natsuhiko | Individual | – | DIRECTOR | 06/2020 | < 5% |
| SUMITOMO MITSUI TRUST (HONG KONG) LIMITED | Foreign Entity | – | SHAREHOLDER | 03/2021 | < 5% |
| WOHANKA, RICHARD, L | Individual | – | DIRECTOR | 04/2022 | < 5% |
| Nishiyama, Jun | Individual | – | CHIEF COMPLIANCE OFFICER OF INVESTMENT | 04/2022 | < 5% |
| YOKOYAMA, HIROSHI | Individual | – | SENIOR CORPORATE OFFICER | 07/2022 | < 5% |
| YASUNAGA, TETSUJI | Individual | – | SENIOR CORPORATE OFFICER | 06/2023 | < 5% |
| YOH, HIROSHI | Individual | – | EXECUTIVE CORPORATE OFFICER, CHEIF INVESTMENT OFFICER AND GLOBAL HEAD OF INVESTMENT | 11/2022 | < 5% |
| Yan, Allen | Individual | – | EXECUTIVE CORPORATE OFFICER, CHIEF FINANCIAL OFFICER | 01/2023 | < 5% |
| GLOVER, TONY | Individual | – | SENIOR CORPORATE OFFICER | 04/2023 | < 5% |
| MATSUI, MARIKO | Individual | – | CHIEF COMPLIANCE OFFICER, CHEIF LEGAL OFFICER | 09/2023 | < 5% |