HOKU INC.

Adviser information for HOKU INC. last updated from Form ADV on January 30th, 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	NOVEMBER
Legal Location	Japan

Employees

Total Number of Employees	0
Investment Advisory/Research	0
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	No

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	0	$0
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	0
No. of Non-U.S. Clients	0

Services

Advisory Services	–
Compensation	–
Other Business Activities	INVESTMENT ADVISOR

Identifiers

SEC RIA File Number	802-119719
SEC ERA File Number	802-119719
SEC CIK Numbers	3421026378
SEC CRD Numbers	310865
Legal Entity Identifier	5493001KJTIIGC8Y1R12

Principal Office

FINGATE TERRACE, 8-1 NIHONBASHI KABUTOCHO
CHUO-KU
TOKYO, KANTO
Japan

Monday - Friday, 9:00 TO 17:00

Tel: +81335273115, Fax: None

Chief Compliance Officer

YUMIKO TAKAJI

DIRECTOR / COO AND CO

FINGATE TERRACE 4F

8-1 NIHONBASHI KABUTOCHO, CHUO-KU

TOKYO

Japan

Tel: +919080370799

Y*****@************M

(Full email address available in API data)

Industry Affiliates

None

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
TOPWATER MAYFLY FUND LLC	Hedge Fund	$28.5M	$1.0M	2

Control Persons

Name	Type	Entity	Title	Since	Ownership
MATSUMOTO, REID, KEN	Individual	–	REPRESENTATIVE DIRECTOR	02/2017	> 75%

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