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CRD 110077
CHIYODA-KU, TOKYO
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AOKI, AKINORI | MANAGING EXECUTIVE OFFICER,COMPLIANCE OFFICER | Na | yes | 04/2018 | Apr 1, 2015 | May 23, 2019 |
| ARAI, JUN | OUTSIDE DIRECTOR | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| BABA, TAKAAKI | Director | Na | yes | 12/2017 | Dec 18, 2017 | May 23, 2019 |
| DAIWA SECURITIES GROUP INC | PARENT COMPANY | C | yes | 04/1999 | Mar 21, 2012 | May 23, 2019 |
| FUJIWARA, HIDEHIRO | EXECUTIVE OFFICER | Na | yes | 04/2015 | Apr 1, 2015 | May 23, 2019 |
| GOTO, MASAAKI | PRESIDENT &CEO | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| HASEGAWA, AKIRA | MANAGING EXECUTIVE OFFIFER | Na | yes | 04/2018 | May 30, 2013 | May 23, 2019 |
| HORIKAWA, YOSHIHIRO | DEPUTY PRESIDENT | Na | yes | 04/2016 | May 11, 2015 | May 23, 2019 |
| IMAMURA, KENJI | SENIOR MANAGING EXECUTIVE OFFICER | Na | yes | 04/2018 | Apr 2, 2018 | May 23, 2019 |
| ITAMI, TERUHITO | EXECUTIVE OFFICER | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| IWAI, KAZUSHI | EXECUTIVE OFFICER | Na | yes | 04/2018 | Apr 2, 2018 | May 23, 2019 |
| KAMIYA, MAKOTO | MANAGING DIRECTOR | Na | yes | 04/2017 | Apr 1, 2015 | May 23, 2019 |
| KAWAGUCHI, TETSUYA | SENIOR MANAGING DIRECTOR | Na | yes | 04/2017 | May 30, 2013 | May 23, 2019 |
| KOMAGATA, KEIJI | SENIOR MANAGING EXECUTIVE OFFICER | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| OMASA, TAKESHI | EXECUTIVE OFFICER | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| OTSUKI, HIROSHI | OUTSIDE DIRECTOR | Na | yes | 04/2016 | Apr 4, 2016 | May 23, 2019 |
| OZAKI, HIDEOMI | EXECUTIVE OFFICER | Na | yes | 04/2017 | Apr 4, 2017 | May 23, 2019 |
| SAITO, HIROAKI | SENIOR MANAGING DIRECTOR | Na | yes | 04/2017 | Apr 4, 2017 | May 23, 2019 |
| SAKAI, SATORU | EXECUTIVE OFFICER | Na | yes | 04/2017 | Apr 4, 2017 | May 23, 2019 |
| SHIRAGA, MAKOTO | MANAGING EXECUTIVE OFFICER | Na | yes | 04/2018 | Apr 1, 2015 | May 23, 2019 |
| SUMITOMO MITSUI FINANCIAL GROUP, INC. | PARENT COMPANY | C | yes | 02/2003 | Mar 21, 2012 | May 23, 2019 |
| URATA, YOSHIO | SENIOR MANAGING DIRECTOR | Na | yes | 04/2018 | May 30, 2013 | May 23, 2019 |
| SUMITOMO MITSUI TRUST BANK, LIMITED | Shareholder | Na | no | 04/1999 | Apr 23, 2012 | May 23, 2019 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| DAIWA SB INVESTMENTS (HK) LTD | n/a | Asset manager | $567M | Y | no | n/a |
| DAIWA SB INVESTMENTS (SINGAPORE) LTD. | n/a | Former SEC adviser | $168M | Y | no | n/a |
| DAIWA SB INVESTMENTS USA LTD | n/a | No RAUM reported | $0 | Y | no | n/a |
| DAIWA SB INVESTMENTS UK LTD | n/a | n/a | n/a | Y | no | n/a |
| DAIWA SECURITIES CO. LTD. | n/a | n/a | n/a | N | yes | n/a |
| SMBC NIKKO SECURITIES INC. | n/a | n/a | n/a | N | yes | n/a |
| SUMITOMO MITSUI BANKING CORPORATION | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2019 | May 23, 2019 | $48B | $48B | 371 | 99 | 0 | n/a | n/a |
| 2018 | May 1, 2018 | $57B | $57B | 376 | 99 | 0 | n/a | n/a |
| 2017 | Apr 27, 2017 | $50B | $50B | 337 | 97 | n/a | n/a | n/a |
| 2016 | May 5, 2016 | $48B | $48B | 367 | 90 | n/a | n/a | n/a |
| 2015 | May 11, 2015 | $48B | $48B | 353 | 92 | n/a | n/a | n/a |
| 2014 | Jun 25, 2014 | $47B | $46B | 354 | 89 | n/a | n/a | n/a |
| 2013 | Jun 18, 2013 | $53B | $51B | 345 | 91 | n/a | n/a | n/a |
| 2012 | Jun 13, 2012 | $60B | $59B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2019 | $48B | $57B | -15.8% | $48B | -0.2% | 371 | 376 | 0 | 0 |