NIKKO ASSET MANAGEMENT AMERICAS, INC.
Adviser information for NIKKO ASSET MANAGEMENT AMERICAS, INC. last updated from Form ADV on January 2nd, 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 | Delaware, United States |
Employees
| Total Number of Employees | 32 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 3 |
| Registered State Investment Advisers | 1 |
| 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 | 23 | $9.8B |
| Non-Discretionary | 4 | $106.4M |
| Total | 27 | $9.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $107.7M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 6 | $9.7B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $77.6M |
| 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 | 0 |
| No. of Non-U.S. Clients | 44 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
605 THIRD AVENUE38TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-610-6100, Fax: 212-610-6140
Websites
Chief Compliance Officer
GARY BECKHAM
CHIEF COMPLIANCE OFFICER
605 THIRD AVENUE
38TH FLOOR
NEW YORK
NY
United States
Tel:
212-610-6124
Fax:
212-610-6140
G***********@**********M
(Full email address available in API data)
Regulatory Contact
WILLIAM LANG
VICE PRESIDENT, COMPLIANCE MANAGER
605 THIRD AVENUE
38TH FLOOR
NEW YORK
NY
United States
Tel:
212-610-6110
Fax:
212-610-6140
W***********@**********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 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 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 |
|---|---|---|---|---|
| INTERNATIONAL SELECT EQUITY FUND, LLC | 3C-7 FUND | $12.3M | $1.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NIKKO AM AMERICAS HOLDING CO., INC. | Domestic Entity | – | SHAREHOLDER | 04/1997 | > 75% |
| NIKKO ASSET MANAGEMENT CO LTD | Foreign Entity | NIKKO AM AMERICAS HOLDING CO. | SHAREHOLDER | 09/2004 | > 75% |
| STEGLITZ, MARC, HARRY | Individual | – | DIRECTOR | 11/2007 | < 5% |
| PRAGER, LAWRENCE, STEPHEN | Individual | – | DIRECTOR | 11/2010 | < 5% |
| SUMITOMO MITSUI TRUST HOLDINGS, INC. | Foreign Entity | NIKKO ASSET MANAGEMENT CO LTD | SHAREHOLDER | 07/2019 | > 75% |
| BECKHAM, GARY, LAMONT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |
| COOK, KENNETH, S | Individual | – | DIRECTOR | 08/2020 | < 5% |
| GRAF, PETER, EDWARD | Individual | – | CHIEF INVESTMENT OFFICER | 04/2022 | < 5% |
| SUTO, SATOSHI | Individual | – | CHIEF OPERATING OFFICER | 04/2022 | < 5% |
| GLOVER, TONY | Individual | – | DIRECTOR | 05/2023 | < 5% |
| NISHIDA, YUTAKA | Individual | – | DIRECTOR | 05/2023 | < 5% |
| Wesley, James, Mark Beyer | Individual | – | DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER | 01/2024 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 9th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| APPLE INC | COM | 28M | 133K | 1,2 |
| MICROSOFT CORP | COM | 16M | 35K | 1,2 |
| NVIDIA CORP | COM | 145M | 1M | 1,2 |
| ALPHABET INC-CL C | COM | 24M | 133K | 1,2 |
| AMAZON.COM INC | COM | 32M | 165K | 1,2 |
| META PLATFORMS INC-CLASS A | COM | 196M | 389K | 1,2 |
| TAIWAN SEMICONDUCTOR-SP ADR | COM | 43M | 246K | 1,2 |
| TESLA INC | COM | 491M | 2M | 1,2 |
| EXXON MOBIL CORP | COM | 6M | 53K | 1,2 |
| CHEVRON CORP | COM | 4M | 28K | 1,2 |
| NETFLIX INC | COM | 4M | 6K | 1,2 |
| ADOBE INC | COM | 390K | 702 | 1,2 |
| SHELL PLC-ADR | COM | 7M | 99K | 1,2 |
| ADVANCED MICRO DEVICES | COM | 65M | 404K | 1,2 |
| LINDE PLC | COM | 4M | 10K | 1,2 |
| QUALCOMM INC | COM | 782K | 4K | 1,2 |
| ALIBABA GROUP HOLDING-SP ADR | COM | 2M | 30K | 1,2 |
| AMGEN INC | COM | 3M | 9K | 1,2 |
| INTUIT INC | COM | 68M | 104K | 1,2 |
| WALT DISNEY CO/THE | COM | 10M | 99K | 1,2 |
| CATERPILLAR INC | COM | 5M | 15K | 1,2 |
| TOTALENERGIES SE -SPON ADR | COM | 5M | 76K | 1,2 |
| UNION PACIFIC CORP | COM | 1M | 6K | 1,2 |
| BHP GROUP LTD-SPON ADR | COM | 6M | 113K | 1,2 |
| HONEYWELL INTERNATIONAL INC | COM | 5M | 21K | 1,2 |
| VERTEX PHARMACEUTICALS INC | COM | 6M | 12K | 1,2 |
| CONOCOPHILLIPS | COM | 2M | 19K | 1,2 |
| LOCKHEED MARTIN CORP | COM | 9M | 20K | 1,2 |
| REGENERON PHARMACEUTICALS | COM | 33M | 31K | 1,2 |
| NIKE INC -CL B | COM | 397K | 5K | 1,2 |
| RIO TINTO PLC-SPON ADR | COM | 5M | 70K | 1,2 |
| DEERE & CO | COM | 34M | 91K | 1,2 |
| BP PLC-SPONS ADR | COM | 3M | 94K | 1,2 |
| INTERCONTINENTAL EXCHANGE IN | COM | 19M | 142K | 1,2 |
| SYNOPSYS INC | COM | 12M | 20K | 1,2 |
| MERCADOLIBRE INC | COM | 184M | 112K | 1,2 |
| SOUTHERN COPPER CORP | COM | 402K | 4K | 1,2 |
| SHOPIFY INC - CLASS A | COM | 397M | 6M | 1,2 |
| CANADIAN NATURAL RESOURCES | COM | 2M | 66K | 1,2 |
| EOG RESOURCES INC | COM | 1M | 9K | 1,2 |
| SCHLUMBERGER LTD | COM | 1M | 29K | 1,2 |
| PAYPAL HOLDINGS INC | COM | 28M | 489K | 1,2 |
| SPOTIFY TECHNOLOGY SA | COM | 137M | 435K | 1,2 |
| NXP SEMICONDUCTORS NV | COM | 8M | 31K | 1,2 |
| PHILLIPS 66 | COM | 793K | 6K | 1,2 |
| FREEPORT-MCMORAN INC | COM | 6M | 125K | 1,2 |
| MARATHON PETROLEUM CORP | COM | 595K | 3K | 1,2 |
| PALANTIR TECHNOLOGIES INC-A | COM | 255M | 10M | 1,2 |
| AIR PRODUCTS & CHEMICALS INC | COM | 3M | 13K | 1,2 |
| NU HOLDINGS LTD/CAYMAN ISL-A | COM | 85M | 7M | 1,2 |
| CROWDSTRIKE HOLDINGS INC - A | COM | 87M | 226K | 1,2 |
| COINBASE GLOBAL INC -CLASS A | COM | 598M | 3M | 1,2 |
| NEWMONT CORP | COM | 4M | 91K | 1,2 |
| OCCIDENTAL PETROLEUM CORP | COM | 925K | 15K | 1,2 |
| AUTODESK INC | COM | 355K | 1K | 1,2 |
| WILLIAMS COS INC | COM | 1M | 28K | 1,2 |
| VALERO ENERGY CORP | COM | 519K | 3K | 1,2 |
| SUNCOR ENERGY INC | COM | 2M | 47K | 1,2 |
| KINDER MORGAN INC | COM | 1M | 72K | 1,2 |
| HESS CORP | COM | 877K | 6K | 1,2 |
| MODERNA INC | COM | 83M | 701K | 1,2 |
| VALE SA-SP ADR | COM | 3M | 252K | 1,2 |
| TRADE DESK INC/THE -CLASS A | COM | 74M | 757K | 1,2 |
| L3HARRIS TECHNOLOGIES INC | COM | 19M | 85K | 1,2 |
| JD.COM INC-ADR | COM | 1M | 58K | 1,2 |
| NUCOR CORP | COM | 2M | 12K | 1,2 |
| DATADOG INC - CLASS A | COM | 32M | 244K | 1,2 |
| BAKER HUGHES CO | COM | 1M | 37K | 1,2 |
| CORTEVA INC | COM | 36M | 675K | 1,2 |
| BLOCK INC | COM | 484M | 7M | 1,2 |
| SEA LTD-ADR | COM | 19M | 263K | 1,2 |
| AGNICO EAGLE MINES LTD | COM | 2M | 35K | 1,2 |
| GARMIN LTD | COM | 15M | 93K | 1,2 |
| XYLEM INC | COM | 2M | 11K | 1,2 |
| BARRICK GOLD CORP | COM | 2M | 123K | 1,2 |
| VEEVA SYSTEMS INC-CLASS A | COM | 6M | 35K | 1,2 |
| ARCHER-DANIELS-MIDLAND CO | COM | 1M | 20K | 1,2 |
| HALLIBURTON CO | COM | 1M | 33K | 1,2 |
| DEVON ENERGY CORP | COM | 1M | 28K | 1,2 |
| HEICO CORP | COM | 5M | 20K | 1,2 |
| ANSYS INC | COM | 8M | 25K | 1,2 |
| TAKE-TWO INTERACTIVE SOFTWRE | COM | 701K | 5K | 1,2 |
| ROBLOX CORP -CLASS A | COM | 333M | 9M | 1,2 |
| CLOUDFLARE INC - CLASS A | COM | 82M | 993K | 1,2 |
| PINTEREST INC- CLASS A | COM | 178M | 4M | 1,2 |
| JSC KASPI.KZ ADR | COM | 58M | 453K | 1,2 |
| NUTRIEN LTD | COM | 5M | 97K | 1,2 |
| TECK RESOURCES LTD-CLS B | COM | 3M | 65K | 1,2 |
| WEYERHAEUSER CO | COM | 2M | 56K | 1,2 |
| BANCO BRADESCO-ADR | COM | 195K | 88K | 1,2 |
| SNAP INC - A | COM | 23M | 1M | 1,2 |
| STEEL DYNAMICS INC | COM | 3M | 22K | 1,2 |
| EQT CORP | COM | 846K | 23K | 1,2 |
| TELEDYNE TECHNOLOGIES INC | COM | 4M | 11K | 1,2 |
| TERADYNE INC | COM | 184M | 1M | 1,2 |
| CAMECO CORP | COM | 28M | 560K | 1,2 |
| COTERRA ENERGY INC | COM | 1M | 46K | 1,2 |
| PURE STORAGE INC - CLASS A | COM | 102M | 2M | 1,2 |
| ZOOM VIDEO COMMUNICATIONS-A | COM | 186M | 3M | 1,2 |
| ROBINHOOD MARKETS INC - A | COM | 517M | 23M | 1,2 |
| PACKAGING CORP OF AMERICA | COM | 2M | 12K | 1,2 |
| DRAFTKINGS INC-CL A | COM | 226M | 6M | 1,2 |
| RELIANCE INC | COM | 1M | 4K | 1,2 |
| INTERNATIONAL PAPER CO | COM | 1M | 27K | 1,2 |
| BUNGE GLOBAL SA | COM | 1M | 10K | 1,2 |
| OKTA INC | COM | 106K | 1K | 1,2 |
| DOMINO'S PIZZA INC | COM | 6M | 11K | 1,2 |
| TOAST INC-CLASS A | COM | 148M | 6M | 1,2 |
| CF INDUSTRIES HOLDINGS INC | COM | 985K | 13K | 1,2 |
| TRIMBLE INC | COM | 122M | 2M | 1,2 |
| NATERA INC | COM | 56M | 518K | 1,2 |
| MAGNA INTERNATIONAL INC | COM | 5M | 128K | 1,2 |
| TECHNIPFMC PLC | COM | 995K | 38K | 1,2 |
| INCYTE CORP | COM | 3M | 51K | 1,2 |
| ZILLOW GROUP INC - C | COM | 14M | 293K | 1,2 |
| ANGLOGOLD ASHANTI PLC | COM | 817K | 33K | 1,2 |
| ALBEMARLE CORP | COM | 2M | 16K | 1,2 |
| REDDIT INC-CL A | COM | 20M | 311K | 1,2 |
| MOSAIC CO/THE | COM | 635K | 22K | 1,2 |
| EXACT SCIENCES CORP | COM | 30M | 721K | 1,2 |
| LAMB WESTON HOLDINGS INC | COM | 717K | 9K | 1,2 |
| ROKU INC | COM | 399M | 7M | 1,2 |
| ELBIT SYSTEMS LTD | COM | 7M | 38K | 1,2 |
| SOFI TECHNOLOGIES INC | COM | 76M | 11M | 1,2 |
| MATADOR RESOURCES CO | COM | 830K | 14K | 1,2 |
| ETSY INC | COM | 4M | 61K | 1,2 |
| IONIS PHARMACEUTICALS INC | COM | 10M | 199K | 1,2 |
| TEMPUS AI INC | COM | 10M | 282K | 1,2 |
| ALAMOS GOLD INC-CLASS A | COM | 3M | 187K | 1,2 |
| UIPATH INC - CLASS A | COM | 223M | 18M | 1,2 |
| NEXTRACKER INC-CL A | COM | 589K | 13K | 1,2 |
| AURORA INNOVATION INC | COM | 9M | 3M | 1,2 |
| CHAMPIONX CORP | COM | 562K | 17K | 1,2 |
| UNITY SOFTWARE INC | COM | 161M | 10M | 1,2 |
| BILL HOLDINGS INC | COM | 18M | 338K | 1,2 |
| GLOBAL-E ONLINE LTD | COM | 50M | 1M | 1,2 |
| AEROVIRONMENT INC | COM | 46M | 251K | 1,2 |
| CACTUS INC - A | COM | 728K | 14K | 1,2 |
| CRISPR THERAPEUTICS AG | COM | 170M | 3M | 1,2 |
| GUARDANT HEALTH INC | COM | 3M | 89K | 1,2 |
| JOBY AVIATION INC | COM | 14M | 3M | 1,2 |
| HUNTSMAN CORP | COM | 2M | 69K | 1,2 |
| STONECO LTD-A | COM | 15M | 1M | 1,2 |
| PATTERSON-UTI ENERGY INC | COM | 495K | 48K | 1,2 |
| LIBERTY ENERGY INC | COM | 562K | 27K | 1,2 |
| HELMERICH & PAYNE | COM | 564K | 16K | 1,2 |
| IRIDIUM COMMUNICATIONS INC | COM | 66M | 2M | 1,2 |
| KRATOS DEFENSE & SECURITY | COM | 52M | 3M | 1,2 |
| TWIST BIOSCIENCE CORP | COM | 156M | 3M | 1,2 |
| OCEANEERING INTL INC | COM | 623K | 26K | 1,2 |
| BEAM THERAPEUTICS INC | COM | 52M | 2M | 1,2 |
| AVIDXCHANGE HOLDINGS INC | COM | 20M | 2M | 1,2 |
| ROCKET LAB USA INC | COM | 10M | 2M | 1,2 |
| INTELLIA THERAPEUTICS INC | COM | 73M | 3M | 1,2 |
| 10X GENOMICS INC-CLASS A | COM | 119M | 6M | 1,2 |
| MP MATERIALS CORP | COM | 401K | 32K | 1,2 |
| RECURSION PHARMACEUTICALS-A | COM | 74M | 10M | 1,2 |
| PAGERDUTY INC | COM | 90M | 4M | 1,2 |
| IBOTTA INC-CL A | COM | 5M | 69K | 1,2 |
| VERACYTE INC | COM | 69M | 3M | 1,2 |
| TELADOC HEALTH INC | COM | 40M | 4M | 1,2 |
| NEW GOLD INC | COM | 458K | 235K | 1,2 |
| SCHRODINGER INC | COM | 24M | 1M | 1,2 |
| GENIUS SPORTS LTD | COM | 45M | 8M | 1,2 |
| ARCHER AVIATION INC-A | COM | 35M | 10M | 1,2 |
| NEXTDOOR HOLDINGS INC | COM | 31M | 11M | 1,2 |
| SHOALS TECHNOLOGIES GROUP -A | COM | 428K | 69K | 1,2 |
| CAREDX INC | COM | 40M | 3M | 1,2 |
| STANDARD BIOTOOLS INC | COM | 19M | 11M | 1,2 |
| GINKGO BIOWORKS HOLDINGS INC | COM | 715K | 2M | 1,2 |
| ADAPTIVE BIOTECHNOLOGIES | COM | 25M | 7M | 1,2 |
| PRIME MEDICINE INC | COM | 17M | 3M | 1,2 |
| ARCTURUS THERAPEUTICS HOLDIN | COM | 38M | 2M | 1,2 |
| VERVE THERAPEUTICS INC | COM | 5M | 1M | 1,2 |
| PACIFIC BIOSCIENCES OF CALIF | COM | 17M | 13M | 1,2 |
| COMPASS PATHWAYS PLC | COM | 2M | 288K | 1,2 |
| ABSCI CORP | COM | 2M | 732K | 1,2 |
| 3D SYSTEMS CORP | COM | 3M | 877K | 1,2 |
| CERUS CORP | COM | 13M | 7M | 1,2 |
| MATERIALISE NV-ADR | COM | 9M | 2M | 1,2 |
| ACCOLADE INC | COM | 7M | 2M | 1,2 |
| BLADE AIR MOBILITY INC | COM | 14M | 4M | 1,2 |
| BUTTERFLY NETWORK INC | COM | 626K | 745K | 1,2 |
| 908 DEVICES INC | COM | 3M | 496K | 1,2 |
| REPARE THERAPEUTICS INC | COM | 915K | 277K | 1,2 |
| PERSONALIS INC | COM | 1M | 885K | 1,2 |
| QUANTUM-SI INC | COM | 8M | 8M | 1,2 |
| MARKFORGED HOLDING CORP | COM | 3M | 6M | 1,2 |
| BURNING ROCK BIOTECH LTD-ADR | COM | 354K | 56K | 1,2 |