TOKIO MARINE ASSET MANAGEMENT (USA), LTD.
Adviser information for TOKIO MARINE ASSET MANAGEMENT (USA), LTD. last updated from Form ADV on March 26th, 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 | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 11 |
| 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 | 1 | $1.1B |
| Non-Discretionary | 6 | $649.0M |
| Total | 7 | $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 | 1 | $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 | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesRESEARCH AND INVESTMENT CONSULTING SERVICES |
|---|---|
| Compensation | % of AUMCOST PLUS A PERCENTAGE MARK-UP |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
60 EAST 42ND STREETSUITE 3710
NEW YORK
NY
United States
Monday - Friday, 9 AM - 5 PM
Tel: 212-476-8290, Fax: 212-661-1282
Chief Compliance Officer
SATOSHI TAZAKI
VICE PRESIDENT, CHIEF OPERATING OFFICER
60 E. 42ND STREET
SUITE 3710
NEW YORK
NY
United States
Tel:
212-476-8297
Fax:
212-661-1282
S******@*********T
(Full email address available in API data)
Industry Affiliates
| TOKIO MARINE ASSET MANAGEMENT (LONDON) LTD. | Other investment adviser, including financial planners |
| TOKIO MARINE ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| TOKIO MARINE ASSET MANAGEMENT INTERNATIONAL PTE. LTD. | Other investment adviser, including financial planners |
| TOKIO MARINE MANAGEMENT, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| TOKIO MARINE ASSET MANAGEMENT CO., LTD. | Foreign Entity | – | SHAREHOLDER | 06/2000 | > 75% |
| MITSUHASHI, TAKEO | Individual | – | DIRECTOR | 08/2010 | < 5% |
| TOKIO MARINE HOLDINGS, INC. | Foreign Entity | TOKIO MARINE ASSET MANAGEMENT CO., LTD. | SHAREHOLDER | 04/2002 | > 75% |
| TAZAKI, SATOSHI | Individual | – | VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER | 01/2015 | < 5% |
| SUZUKI, SOTA, NMN | Individual | – | DIRECTOR | 07/2020 | < 5% |
| SUZUKI, TAKUYA, NMN | Individual | – | DIRECTOR, CHIEF EXECUTIVE OFFICER, AND CHIEF INVESTMENT OFFICER | 01/2022 | < 5% |