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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

NOMURA SECURITIES INTERNATIONAL, INC.

CRD 4297

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2f5d1793-3eb0-86c2-0052-9900cc62dcba

Data as of Aug 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 20
On other graphs: 2
Observed: Dec 19, 2011 to Aug 6, 2026
48 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Nomura Securities International Inc

Intermediary · shared crd

Venture Capitalidentity

Nomura Securities International, Inc.

Venture manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=14.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-08-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 14
Advisory employees: 14
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 0
Individual clients: 0
High net worth clients: 0
SEC number: 801-72991
CRD: 4297
Filings on the tape: 48
First filed: Dec 19, 2011
Latest filed: Aug 6, 2026
Organised: Corporation, NY
Website: nomura.com

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
ALOUPIS, STEVEN NICHOLAS	CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR	Na	yes	04/2021	Jan 15, 2019	Oct 30, 2024
CHIULLI, EUGENE JAMES	CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR	Na	yes	04/2019	Apr 17, 2019	Oct 30, 2024
DUMARK, GREGORY JAMES	CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR	Na	yes	07/2022	Dec 22, 2022	Oct 30, 2024
GIANCARLO, JAMES CHRISTOPHER	BOARD OF DIRECTORS	Na	yes	06/2021	May 25, 2022	Oct 30, 2024
HUGHES, WILLIAM FRANCIS JR	CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR	Na	yes	09/2018	Jan 15, 2019	Oct 30, 2024
KAWAMURA, SATOSHI	CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS	Na	yes	11/2021	May 25, 2022	Oct 30, 2024
NOMURA HOLDING AMERICA, INC.	Shareholder	E	yes	04/1989	Dec 19, 2011	Oct 30, 2024
NOMURA HOLDING, INC.	Parent	E	yes	10/2001	Dec 19, 2011	Oct 30, 2024
PRIMIANO, VINCENT ANTHONY	CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR	Na	yes	10/2022	Dec 22, 2022	Oct 30, 2024
UNGER, LAURA SIMONE	BOARD OF DIRECTORS	Na	yes	01/2015	Jun 29, 2015	Oct 30, 2024
WEBB, FARON ROSS	CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR	Na	yes	07/2022	Dec 19, 2011	Oct 30, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC	n/a	Other adviser	$38B	N	yes	n/a
NOMURA ASSET MANAGEMENT U.S.A. INC	n/a	Asset manager	$1.0B	N	yes	n/a
NOMURA GLOBAL ALPHA LLC	n/a	Former SEC adviser	$149M	N	yes	n/a
INSTINET, LLC	n/a	No RAUM reported	$0	N	yes	n/a
NOMURA INTERNATIONAL (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
NOMURA INTERNATIONAL PLC	n/a	n/a	n/a	N	yes	n/a
NOMURA SECURITIES CO., LTD.	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 13 of 14

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Apr 28, 2025	$0	$0	13	13	0	n/a	n/a
2023	Jun 26, 2023	n/a	n/a	14	14	0	n/a	n/a
2022	May 25, 2022	n/a	n/a	13	13	0	n/a	n/a
2021	May 28, 2021	n/a	n/a	12	12	0	n/a	n/a
2020	Jun 24, 2020	n/a	n/a	15	15	0	n/a	n/a
2019	Jun 26, 2019	n/a	n/a	15	15	0	n/a	n/a
2018	Jun 28, 2018	n/a	n/a	16	16	0	n/a	n/a
2017	Jun 28, 2017	n/a	n/a	14	14	n/a	n/a	n/a
2016	Jun 29, 2016	n/a	n/a	143	78	n/a	n/a	n/a
2015	Jun 29, 2015	n/a	n/a	121	64	n/a	n/a	n/a
2014	Jun 30, 2014	n/a	n/a	118	0	n/a	n/a	n/a
2013	Jun 28, 2013	n/a	n/a	131	0	n/a	n/a	n/a
2012	Jun 28, 2012	n/a	n/a	n/a	0	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	14	14	0	0

Relationships

Affiliated with (10)

→ NOMURA ASSET MANAGEMENT U.S.A. INC.Registered adviserother investment adviser, common control
factForm ADV
→ NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NOMURA GLOBAL ALPHA LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ INSTINET, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← NOMURA CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV
← NOMURA ASSET MANAGEMENT U.S.A. INC.Registered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV
← NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INCRegistered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV
← INSTINET, LLCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← NOMURA GLOBAL ALPHA LLCRegistered adviserother investment adviser, broker-dealer, trust company, CPO/CTA, common control
factForm ADV
← NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.Registered adviserother investment adviser, broker-dealer, trust company, common control
factForm ADV

Controls (11)

← HUGHES, WILLIAM FRANCIS JROwnerCHIEF OPERATIONS OFFICER & MANAGING DIRECTOR, ownership code NA, individual
Jan 15, 2019 to Oct 30, 2024factForm ADV
← PRIMIANO, VINCENT ANTHONYOwnerCO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2022 to Oct 30, 2024factForm ADV
← WEBB, FARON ROSSOwnerCHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR, ownership code NA, individual
Dec 19, 2011 to Oct 30, 2024factForm ADV
← ALOUPIS, STEVEN NICHOLASOwnerCO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR, ownership code NA, individual
Jan 15, 2019 to Oct 30, 2024factForm ADV
← CHIULLI, EUGENE JAMESOwnerCHIEF FINANCIAL OFFICER & MANAGING DIRECTOR, ownership code NA, individual
Apr 17, 2019 to Oct 30, 2024factForm ADV
← DUMARK, GREGORY JAMESOwnerCHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR, ownership code NA, individual
Dec 22, 2022 to Oct 30, 2024factForm ADV
← UNGER, LAURA SIMONEOwnerBOARD OF DIRECTORS, ownership code NA, individual
Jun 29, 2015 to Oct 30, 2024factForm ADV
← GIANCARLO, JAMES CHRISTOPHEROwnerBOARD OF DIRECTORS, ownership code NA, individual
May 25, 2022 to Oct 30, 2024factForm ADV
← KAWAMURA, SATOSHIOwnerCEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS, ownership code NA, individual
May 25, 2022 to Oct 30, 2024factForm ADV
← NOMURA HOLDING AMERICA, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 19, 2011 to Oct 30, 2024factForm ADV
← NOMURA HOLDING, INC.OwnerPARENT, ownership code E, foreign entity
Dec 19, 2011 to Oct 30, 2024factForm ADV

Dated events

Occurred
Dec 22, 2022
Control person joined
Gregory James Dumark (Chief Compliance Officer And Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Dec 22, 2022
Control person joined
Vincent Anthony Primiano (Co-Chief Executive Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Dec 22, 2022
Control person left
Christopher Paul Willcox (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2022-05-25, absent 2022-12-22)
Form ADVobserved 5 days ago
Occurred
May 25, 2022
Control person joined
Christopher Paul Willcox (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
May 25, 2022
Control person joined
James Christopher Giancarlo (Board Of Directors) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
May 25, 2022
Control person joined
Satoshi Kawamura (Board Of Directors) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
May 25, 2022
Control person left
Yo Akatsuka (Chief Executive Officer, President, Chairman & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2021-11-09, absent 2022-05-25)
Form ADVobserved 5 days ago
Occurred
Apr 29, 2021
Control person left
David Alan Leibowitz (Board Of Directors) no longer on Schedule A of Nomura Securities International, Inc. (listed 2020-06-29, absent 2021-04-29)
Form ADVobserved 5 days ago
Occurred
Apr 29, 2021
Control person left
James Anthony Denaut (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2020-06-29, absent 2021-04-29)
Form ADVobserved 5 days ago
Occurred
Jun 24, 2020
Control person joined
Yo Akatsuka (Chairman) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Jun 24, 2020
Control person left
David Mair Findlay (Chairman) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-06-26, absent 2020-06-24)
Form ADVobserved 5 days ago
Occurred
Jun 24, 2020
Control person left
Tsutomu Takemura (Board Of Directors) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-06-26, absent 2020-06-24)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2019
Control person left
David Scott Moser (Chief Financial Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-15, absent 2019-04-17)
Form ADVobserved 5 days ago
Occurred
Apr 17, 2019
Control person joined
Eugene James Chiulli (Chief Financial Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Apr 17, 2019
Control person joined
James Anthony Denaut (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 15, 2019
Control person left
Christopher Stephen Vickery (Chief Operations Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-09, absent 2019-01-15)
Form ADVobserved 5 days ago
Occurred
Jan 15, 2019
Control person left
Erik Robert Addington (Chief Financial Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-09, absent 2019-01-15)
Form ADVobserved 5 days ago
Occurred
Jan 15, 2019
Control person joined
Steven Nicholas Aloupis (Chief Operating Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 15, 2019
Control person joined
William Francis Jr Hughes (Chief Operations Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago
Occurred
Jan 15, 2019
Control person joined
David Scott Moser (Chief Financial Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f5d1793-3eb0-86c2-0052-9900cc62dcba
First observed: Dec 19, 2011
Last observed: Aug 6, 2026 45 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

NOMURA SECURITIES INTERNATIONAL, INC.

CRD 4297

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:2f5d1793-3eb0-86c2-0052-9900cc62dcba

Data as of Aug 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:15 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ALOUPIS, STEVEN NICHOLAS

CO-CHIEF EXECUTIVE OFFICER, BOARD OF DIRECTORS & MANAGING DIRECTOR

yes

04/2021

Jan 15, 2019

Oct 30, 2024

CHIULLI, EUGENE JAMES

CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR

yes

04/2019

Apr 17, 2019

Oct 30, 2024

DUMARK, GREGORY JAMES

CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR

yes

07/2022

Dec 22, 2022

Oct 30, 2024

GIANCARLO, JAMES CHRISTOPHER

BOARD OF DIRECTORS

yes

06/2021

May 25, 2022

Oct 30, 2024

HUGHES, WILLIAM FRANCIS JR

CHIEF OPERATIONS OFFICER & MANAGING DIRECTOR

yes

09/2018

Jan 15, 2019

Oct 30, 2024

KAWAMURA, SATOSHI

CEO, PRESIDENT, SENIOR MANAGING DIRECTOR & BOARD OF DIRECTORS

yes

11/2021

May 25, 2022

Oct 30, 2024

NOMURA HOLDING AMERICA, INC.

Shareholder

yes

04/1989

Dec 19, 2011

Oct 30, 2024

NOMURA HOLDING, INC.

Parent

yes

10/2001

Dec 19, 2011

Oct 30, 2024

PRIMIANO, VINCENT ANTHONY

CO-CHIEF EXECUTIVE OFFICER & MANAGING DIRECTOR

yes

10/2022

Dec 22, 2022

Oct 30, 2024

UNGER, LAURA SIMONE

BOARD OF DIRECTORS

yes

01/2015

Jun 29, 2015

Oct 30, 2024

WEBB, FARON ROSS

CHIEF LEGAL OFFICER, GENERAL COUNSEL, SECRETARY & MANAGING DIRECTOR

yes

07/2022

Dec 19, 2011

Oct 30, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC

n/a

Other adviser

$38B

yes

n/a

NOMURA ASSET MANAGEMENT U.S.A. INC

n/a

Asset manager

$1.0B

yes

n/a

NOMURA GLOBAL ALPHA LLC

n/a

Former SEC adviser

$149M

yes

n/a

INSTINET, LLC

n/a

No RAUM reported

yes

n/a

NOMURA INTERNATIONAL (HONG KONG) LIMITED

n/a

yes

n/a

NOMURA INTERNATIONAL PLC

n/a

yes

n/a

NOMURA SECURITIES CO., LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2024

Apr 28, 2025

n/a

2023

Jun 26, 2023

n/a

2022

May 25, 2022

n/a

2021

May 28, 2021

n/a

2020

Jun 24, 2020

n/a

2019

Jun 26, 2019

n/a

2018

Jun 28, 2018

n/a

2017

Jun 28, 2017

n/a

2016

Jun 29, 2016

n/a

143

n/a

2015

Jun 29, 2015

n/a

121

n/a

2014

Jun 30, 2014

n/a

118

n/a

2013

Jun 28, 2013

n/a

131

n/a

2012

Jun 28, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2024

n/a