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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

Alison B Simpson

Advisor at NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

MOORESTOWN, NJ | PHILADELPHIA, PA

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Search this name across graphsid dfx:ria:a6e98623-5780-d36a-dd82-465367fcacaa

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 24, 2002 to Sep 14, 2026

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

Current firm: NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 28, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 28, 2001
First registration: Apr 24, 2002
Dual registered: yes, broker-dealer
Other names: ALISON BALKEY|ALISON B SIMPSON|Alison Balkey Simpson
IAPD individual key: 4335424

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Asset manager	Apr 20, 2020	n/a	yes	PHILADELPHIA, PA\|MOORESTOWN, NJ	Current employment
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Former SEC adviser	Oct 29, 2018	Apr 20, 2020	no	PHILADELPHIA, PA	Previous registration
BLACKROCK INVESTMENT MANAGEMENT, LLC	Asset manager	Sep 29, 2006	Oct 17, 2018	no	PLAINSBORO, NJ\|PRINCETON, NJ\|Philadelphia, PA\|PRINCETON, NJ	Previous registration
MERRILL LYNCH INVESTMENT MANAGERS LP	n/a	May 9, 2005	Sep 29, 2006	no	PLAINSBORO, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 24, 2002	May 9, 2005	no	PENNINGTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST	Apr 20, 2020	Apr 20, 2020	0	Bulk transfer	Other
BLACKROCK INVESTMENT MANAGEMENT, LLC	DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Oct 17, 2018	Oct 29, 2018	12	Firm change	Other
MERRILL LYNCH INVESTMENT MANAGERS LP	BLACKROCK INVESTMENT MANAGEMENT, LLC	Sep 29, 2006	Sep 29, 2006	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MERRILL LYNCH INVESTMENT MANAGERS LP	May 9, 2005	May 9, 2005	0	Firm change	Other

Relationships

Registered with (5)

→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserregistration: current employment
Apr 20, 2020 to presentfactForm ADV
→ DELAWARE CAPITAL MANAGEMENT ADVISERS, INCRegistered adviserregistration: previous registration
Oct 29, 2018 to Apr 20, 2020factForm ADV
→ BLACKROCK INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 29, 2006 to Oct 17, 2018factForm ADV
→ MERRILL LYNCH INVESTMENT MANAGERS LPRegistered adviserregistration: previous registration
May 9, 2005 to Sep 29, 2006factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 24, 2002 to May 9, 2005factForm ADV

Dated events

No dated event names this entity yet.