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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

DAIWA SB INVESTMENTS UK LTD

CRD 106034

LONDON

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:559c1329-1c53-44ef-c160-8a11e6901156

Data as of Aug 19, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Aug 19, 2013
7 observations

Across DFX

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.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $5.7BItem 5.F on the latest filing (2013-08-19); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $5.7B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 26
Advisory employees: 9
Accounts: 7
SEC number: 801-24840
CRD: 106034
Filings on the tape: 7
First filed: Mar 19, 2012
Latest filed: Aug 19, 2013
Organised: Corporation

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
DAIWA SB INVESTMENTS LTD.	Shareholder	E	yes	04/1999	Mar 19, 2012	Aug 19, 2013
DAIWA SECURITIES GROUP INC.	Shareholder	C	yes	04/1999	Mar 19, 2012	Aug 19, 2013
KANAMURA, AKIHIKO	Director	Na	yes	04/2011	Mar 19, 2012	Aug 19, 2013
NISHIHARA, KATSUMI	CHIEF COMPLIANCE OFFICER	Na	yes	03/2011	Mar 19, 2012	Aug 19, 2013
OTSUKA, SUNAO	MANAGING DIRECTOR	Na	yes	05/2012	Jun 25, 2012	Aug 19, 2013
SUMITOMO MITSUI FINANCIAL GROUP, INC.	Shareholder	C	yes	02/2003	Mar 19, 2012	Aug 19, 2013

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
DAIWA SB INVESTMENTS LTD	n/a	Former SEC adviser	$48B	Y	no	n/a
DAIWA SB INVESTMENTS (HK) LTD	n/a	Asset manager	$567M	N	yes	n/a
DAIWA SB INVESTMENTS (SINGAPORE) LTD.	n/a	Former SEC adviser	$168M	N	yes	n/a
DAIWA SB INVESTMENTS USA LTD	n/a	No RAUM reported	$0	N	yes	n/a
DAIWA SECURITIES CO. LTD.	n/a	n/a	n/a	N	yes	n/a
SMBC FRIEND 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

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

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Jul 1, 2013	$5.7B	$5.7B	26	9	n/a	n/a	n/a
2012	Jun 25, 2012	$7.1B	$7.1B	n/a	n/a	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
2013	$5.7B	$7.1B	-18.5%	n/a	n/a	26	n/a	n/a	n/a

Relationships

Affiliated with (4)

→ SMBC ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ DAIWA SB INVESTMENTS LTDRegistered adviserother investment adviser, control
factForm ADV
→ DAIWA SB INVESTMENTS (SINGAPORE) LTD.Registered adviserother investment adviser, common control
factForm ADV
→ SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV

Controls (6)

← KANAMURA, AKIHIKOOwnerDIRECTOR, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← NISHIHARA, KATSUMIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← OTSUKA, SUNAOOwnerMANAGING DIRECTOR, ownership code NA, individual
Jun 25, 2012 to presentfactForm ADV
← DAIWA SB INVESTMENTS LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 19, 2012 to presentfactForm ADV
← DAIWA SECURITIES GROUP INC.OwnerSHAREHOLDER, ownership code C, foreign entity
Mar 19, 2012 to presentfactForm ADV
← SUMITOMO MITSUI FINANCIAL GROUP, INC.OwnerSHAREHOLDER, ownership code C, foreign entity
Mar 19, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:559c1329-1c53-44ef-c160-8a11e6901156
First observed: Mar 19, 2012
Last observed: Aug 19, 2013 159 months 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.

DAIWA SB INVESTMENTS UK LTD

CRD 106034

LONDON

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:559c1329-1c53-44ef-c160-8a11e6901156

Data as of Aug 19, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAIWA SB INVESTMENTS LTD.

Shareholder

yes

04/1999

Mar 19, 2012

Aug 19, 2013

DAIWA SECURITIES GROUP INC.

Shareholder

yes

04/1999

Mar 19, 2012

Aug 19, 2013

KANAMURA, AKIHIKO

Director

yes

04/2011

Mar 19, 2012

Aug 19, 2013

NISHIHARA, KATSUMI

CHIEF COMPLIANCE OFFICER

yes

03/2011

Mar 19, 2012

Aug 19, 2013

OTSUKA, SUNAO

MANAGING DIRECTOR

yes

05/2012

Jun 25, 2012

Aug 19, 2013

SUMITOMO MITSUI FINANCIAL GROUP, INC.

Shareholder

yes

02/2003

Mar 19, 2012

Aug 19, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DAIWA SB INVESTMENTS LTD

n/a

Former SEC adviser

$48B

n/a

DAIWA SB INVESTMENTS (HK) LTD

n/a

Asset manager

$567M

yes

n/a

DAIWA SB INVESTMENTS (SINGAPORE) LTD.

n/a

Former SEC adviser

$168M

yes

n/a

DAIWA SB INVESTMENTS USA LTD

n/a

No RAUM reported

yes

n/a

DAIWA SECURITIES CO. LTD.

n/a

yes

n/a

SMBC FRIEND SECURITIES CO., LTD.

n/a

yes

n/a

SMBC NIKKO SECURITIES INC.

n/a

yes

n/a

SUMITOMO MITSUI BANKING CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Jul 1, 2013

$5.7B

n/a

2012

Jun 25, 2012

$7.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

$5.7B

$7.1B

-18.5%

n/a