NIKKO ASSET MANAGEMENT ASIA LIMITED
Adviser information for NIKKO ASSET MANAGEMENT ASIA LIMITED last updated from Form ADV on October 30th, 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 | Singapore |
Employees
| Total Number of Employees | 158 |
|---|---|
| Investment Advisory/Research | 51 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 77 |
| 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 | 98 | $10.7B |
| Non-Discretionary | 0 | $0 |
| Total | 98 | $10.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $20.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 79 | $8.3B |
| Pension and profit sharing plans | <5 | $3.9M |
| Charitable organizations | <5 | $148.7M |
| State or municipal gov entities | <5 | $1.2B |
| Other investment advisers | 0 | $0 |
| Insurance companies | <5 | $318.6M |
| Sovereign wealth funds and foreign official institutions | <5 | $398.8M |
| Corporations or other businesses | 6 | $409.3M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 14 |
| No. of Non-U.S. Clients | 99 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-74399 |
|---|---|
| SEC ERA File Number | 801-74399 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161589 |
| Legal Entity Identifier | 549300X9M86NPSPZ6V66 |
Principal Office
12 MARINA VIEW#18-02 ASIA SQUARE TOWER 2
SINGAPORE
Singapore
Monday - Friday, 08:30 - 17:30
Tel: 65-6500-5700, Fax: 65-6534-5183
Websites
Chief Compliance Officer
NG SUAT LAY
HEAD OF COMPLIANCE, ASIA EX-JAPAN
12 MARINA VIEW
#18-02 ASIA SQUARE TOWER 2
SINGAPORE
Singapore
Tel:
+65 65005820
Fax:
+65 65345183
S*********@**********M
(Full email address available in API data)
Regulatory Contact
SGCOMPLIANCE
COMPLIANCE TEAM
12 MARINA VIEW
#18-02 ASIA SQUARE TOWER 2
SINGAPORE
Singapore
Tel:
+65 65005820
Fax:
+65 65345183
S***********@**********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 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 |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SEET, ELEANOR, OON HUI | Individual | – | PRESIDENT & DIRECTOR | 10/2011 | < 5% |
| NIKKO ASSET MANAGEMENT CO., LTD. | Foreign Entity | NIKKO ASSET MANAGEMENT INTERNATIONAL LIMITED | SHAREHOLDER | 04/1990 | > 75% |
| SUMITOMO MITSUI TRUST HOLDINGS INC. | Foreign Entity | NIKKO ASSET MANAGEMENT CO., LTD. | SHAREHOLDER | 04/2011 | > 75% |
| WANG, DON, MING HUA | Individual | – | CHIEF LEGAL OFFICER | 12/2011 | < 5% |
| NIKKO ASSET MANAGEMENT INTERNATIONAL LIMITED | Foreign Entity | – | SHAREHOLDER | 09/2011 | > 75% |
| Ryu, Kiyotaka | Individual | – | DIRECTOR | 03/2019 | < 5% |
| NG, SUAT LAY | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2019 | < 5% |
| HE, WEN HUI | Individual | – | HEAD OF FINANCE | 09/2016 | < 5% |
| PAE, JASON, JIN | Individual | – | CHIEF OPERATING OFFICER | 09/2022 | < 5% |