DFX Intelligence

F•• I••••••••• •••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

F•• I••••••••• •••••• L••••••

CRD 110938

TOKYO

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Search this name across graphsid dfx:ria:6e24dfde-a457-4a41-f6d2-cc8fea8105a1

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 21
On other graphs: 0
Observed: Apr 26, 2012 to Mar 31, 2026
28 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 180
Advisory employees: 21
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•• A••• H••••••• P•• L••••••	Shareholder	C	yes	01/2009	Jun 26, 2015	Apr 4, 2024
F•• J•••• H••••••• ••••••••• P••• L••••••	Shareholder	D	yes	04/2009	Apr 26, 2012	Apr 4, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•• I••••••••• A•••••••	n/a	Asset manager	$8.6B	N	yes	n/a
F•• I••••••••• A••••••• ••• L•••	n/a	Asset manager	$3.5B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
OSAKA CITY	n/a	Japan	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$0	$0	n/a	$0	n/a	180	203	0	0

Relationships

Affiliated with (9)

← F•• I••••••••• A••••••• ••• L•••Registered adviserother investment adviser, common control
factForm ADV
← IMPRESA MANAGEMENT LLCRegistered adviserother investment adviser
factForm ADV
→ F•• I••••••••• A••••••• ••• L•••Registered adviserother investment adviser, common control
factForm ADV
→ F•• I••••••••• A•••••••Registered adviserother investment adviser, common control

Dated events

Occurred
Mar 31, 2023
Control person left
Matthew Hygate (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2022-04-21, absent 2023-03-31)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined
Hiromi Wada (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined
Nobuyuki Maeoka (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e24dfde-a457-4a41-f6d2-cc8fea8105a1
First observed: Apr 26, 2012
Last observed: Mar 31, 2026 5 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.