DAIWA ASSET MANAGEMENT (AMERICA) LTD
DAIWA ASSET MANAGEMENT (AMERICA) LTD. Legal Name
Adviser information for DAIWA ASSET MANAGEMENT (AMERICA) LTD last updated from Form ADV on June 20th, 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 | New York, United States |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 8 |
| 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 | 15 | $1.8B |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $1.8B |
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 | 15 | $1.8B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| 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 | 15 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMFEES RECEIVED FROM SERVICES PROVIDED TO PARENT COMPANY |
Identifiers
| SEC RIA File Number | 801-72608 |
|---|---|
| SEC ERA File Number | 801-72608 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 126191 |
| Legal Entity Identifier | None |
Principal Office
32 OLD SLIP, 11TH FLOORNEW YORK
NY
United States
Monday - Friday, 9:00AM-5:00PM
Tel: 212-612-6250, Fax: 212-612-7110
Chief Compliance Officer
EFRAIM SPAGNOLETTI
CHIEF COMPLIANCE OFFICER
32 OLD SLIP, 11TH FLOOR
NEW YORK
NY
United States
Tel:
212-612-6227
Fax:
212-612-7110
S**********@***********M
(Full email address available in API data)
Regulatory Contact
YOSHIHIRO HORINOUCHI
PRESIDENT
32 OLD SLIP, 11TH FLOOR
NEW YORK
NY
United States
Tel:
2126126254
Fax:
212-612-7110
H*********@***********M
(Full email address available in API data)
Industry Affiliates
| DAIWA ASSET MANAGEMENT (EUROPE) LTD. | Other investment adviser, including financial planners |
| DAIWA ASSET MANAGEMENT CO. LTD. | Other investment adviser, including financial planners |
| DAIWA ASSET MANAGEMENT SILICON VALLEY INC. | Other investment adviser, including financial planners |
| DAIWA ASSET MANAGEMENT(SINGAPORE) LTD. | Other investment adviser, including financial planners |
| DAIWA SECURITIES CO. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DAIWA ASSET MANAGEMENT CO. LTD. | Foreign Entity | – | SHARE HOLDER | 08/1990 | > 75% |
| DAIWA SECURITIES GROUP INC. | Foreign Entity | DAIWA ASSET MANAGEMENT CO. LTD. | SHARE HOLDER | 08/1999 | > 75% |
| SPAGNOLETTI, EFRAIM | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2014 | < 5% |
| TAHARA, ATSUSHI | Individual | – | DIRECTOR | 04/2018 | < 5% |
| Horinouchi, Yoshihiro | Individual | – | PRESIDENT | 04/2023 | < 5% |
| Furukawa, Shintaro | Individual | – | DIRECTOR | 06/2023 | < 5% |