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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

NEZU ASIA CAPITAL MANAGEMENT, LLC

CRD 161506

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:beaa7f83-f6bb-37b7-641a-92a2b8d5a55c

Data as of Mar 20, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 7
On other graphs: 0
Observed: Feb 25, 2012 to Mar 20, 2023
19 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: $64.7MItem 5.F on the latest filing (2023-03-20); 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
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 2
Individual clients: 0
High net worth clients: 0
SEC number: 801-74435
CRD: 161506
Filings on the tape: 19
First filed: Feb 25, 2012
Latest filed: Mar 20, 2023
Organised: Limited Liability Company, Delaware

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
Lee, Su Kwan	CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	09/2020	Oct 8, 2020	Mar 20, 2023
NEZU GROUP GP, LTD.	GENERAL PARTNER	F	yes	12/2015	Mar 30, 2016	Mar 20, 2023
NEZU GROUP, L.P.	SOLE MEMBER	E	yes	12/2015	Mar 30, 2016	Mar 20, 2023
SNODDY, SAMUEL, DAVID	CHIEF EXECUTIVE OFFICER	Na	yes	11/2010	Feb 25, 2012	Mar 20, 2023
SNODDY, SAMUEL, DAVID	Shareholder	C	yes	08/2019	Feb 25, 2012	Mar 20, 2023
SNODDY, SAMUEL, DAVID	LIMITED PARTNER	C	yes	12/2015	Feb 25, 2012	Mar 20, 2023
WINIA, DARREN, JOHN	DIRECTOR OF GENERAL PARTNER OF SOLE MEMBER	Na	yes	01/2020	Feb 25, 2012	Mar 20, 2023

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
NEZU ASIA CAPITAL MANAGEMENT LIMITED	n/a	Former SEC adviser	$76.4M	N	yes	n/a
NEZU ASIA CAPITAL LIMITED	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
HONG KONG	n/a	Hong Kong	2	no
Tokyo	n/a	Japan	1	no

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
2022	Mar 20, 2023	$64.7M	$0	2	2	2	n/a	n/a
2021	Mar 15, 2022	$104M	$0	2	2	2	n/a	n/a
2020	Mar 22, 2021	$118M	$0	2	2	2	n/a	n/a
2019	Mar 30, 2020	$110M	$0	2	2	2	n/a	n/a
2018	Mar 30, 2019	$162M	$162M	2	2	2	n/a	n/a
2017	Mar 29, 2018	$1.1B	$1.1B	4	3	2	n/a	n/a
2016	Mar 30, 2017	$252M	$252M	7	6	n/a	n/a	n/a
2015	Mar 30, 2016	$710M	$710M	7	7	n/a	n/a	n/a
2014	Mar 31, 2015	$671M	$0	7	6	n/a	n/a	n/a
2013	Mar 28, 2014	$347M	$0	7	6	n/a	n/a	n/a
2012	Mar 28, 2013	$157M	$0	6	5	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
2022	$64.7M	$104M	-37.8%	$110M	-16.2%	2	2	2	2

Relationships

Affiliated with (3)

→ NEZU ASIA CAPITAL MANAGEMENT LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← NEZU ASIA CAPITAL MANAGEMENT LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← NEZU ASIA CAPITAL MANAGEMENT (SINGAPORE) PTE. LTD.Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← WINIA, DARREN, JOHNOwnerDIRECTOR OF GENERAL PARTNER OF SOLE MEMBER, ownership code NA, individual
Feb 25, 2012 to presentfactForm ADV
← SNODDY, SAMUEL, DAVIDOwnerSHAREHOLDER, ownership code C, individual
Feb 25, 2012 to presentfactForm ADV
← Lee, Su KwanOwnerCHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 8, 2020 to presentfactForm ADV
← NEZU GROUP GP, LTD.OwnerGENERAL PARTNER, ownership code F, foreign entity
Mar 30, 2016 to presentfactForm ADV
← NEZU GROUP, L.P.OwnerSOLE MEMBER, ownership code E, foreign entity
Mar 30, 2016 to presentfactForm ADV

Dated events

Occurred
Mar 20, 2023
Control person left
Fuyuki Fujiwara (Shareholder) no longer on Schedule A of Nezu Asia Capital Management, Llc (listed 2022-04-26, absent 2023-03-20)
Form ADVobserved 6 days ago
Occurred
Mar 20, 2023
Control person left
Patrick Richard Kincaid (Shareholder) no longer on Schedule A of Nezu Asia Capital Management, Llc (listed 2022-04-26, absent 2023-03-20)
Form ADVobserved 6 days ago
Occurred
Oct 8, 2020
Control person joined
Su Kwan Lee (Chief Operating Officer And Chief Compliance Officer) appeared on Schedule A of Nezu Asia Capital Management, Llc
Form ADVobserved 6 days ago
Occurred
Oct 8, 2020
Control person left
Angela Cristina Maria Tordesillas (General Counsel And Chief Compliance Officer) no longer on Schedule A of Nezu Asia Capital Management, Llc (listed 2020-03-30, absent 2020-10-08)
Form ADVobserved 6 days ago
Occurred
Mar 30, 2020
Control person joined
Fuyuki Fujiwara (Shareholder) appeared on Schedule A of Nezu Asia Capital Management, Llc
Form ADVobserved 6 days ago
Occurred
Mar 30, 2019
Regulatory AUM changed
Nezu Asia Capital Management, Llc reported RAUM $161.7M, down 85% from $1.1B (2018-03-29 to 2019-03-30)
Form ADVobserved 6 days ago
$-914M
Occurred
Mar 29, 2018
Regulatory AUM changed
Nezu Asia Capital Management, Llc reported RAUM $1.1B, up 328% from $251.5M (2017-03-30 to 2018-03-29)
Form ADVobserved 6 days ago
$824M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:beaa7f83-f6bb-37b7-641a-92a2b8d5a55c
First observed: Feb 25, 2012
Last observed: Mar 20, 2023 42 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.

NEZU ASIA CAPITAL MANAGEMENT, LLC

CRD 161506

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:beaa7f83-f6bb-37b7-641a-92a2b8d5a55c

Data as of Mar 20, 2023 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:17 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Lee, Su Kwan

CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER

yes

09/2020

Oct 8, 2020

Mar 20, 2023

NEZU GROUP GP, LTD.

GENERAL PARTNER

yes

12/2015

Mar 30, 2016

Mar 20, 2023

NEZU GROUP, L.P.

SOLE MEMBER

yes

12/2015

Mar 30, 2016

Mar 20, 2023

SNODDY, SAMUEL, DAVID

CHIEF EXECUTIVE OFFICER

yes

11/2010

Feb 25, 2012

Mar 20, 2023

SNODDY, SAMUEL, DAVID

Shareholder

yes

08/2019

Feb 25, 2012

Mar 20, 2023

SNODDY, SAMUEL, DAVID

LIMITED PARTNER

yes

12/2015

Feb 25, 2012

Mar 20, 2023

WINIA, DARREN, JOHN

DIRECTOR OF GENERAL PARTNER OF SOLE MEMBER

yes

01/2020

Feb 25, 2012

Mar 20, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NEZU ASIA CAPITAL MANAGEMENT LIMITED

n/a

Former SEC adviser

$76.4M

yes

n/a

NEZU ASIA CAPITAL LIMITED

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

HONG KONG

n/a

Hong Kong

Tokyo

n/a

Japan

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 20, 2023

$64.7M

n/a

2021

Mar 15, 2022

$104M

n/a

2020

Mar 22, 2021

$118M

n/a

2019

Mar 30, 2020

$110M

n/a

2018

Mar 30, 2019

$162M

n/a

2017

Mar 29, 2018

$1.1B

n/a

2016

Mar 30, 2017

$252M

n/a

2015

Mar 30, 2016

$710M

n/a

2014

Mar 31, 2015

$671M

n/a

2013

Mar 28, 2014

$347M

n/a

2012

Mar 28, 2013

$157M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$64.7M

$104M

-37.8%

$110M

-16.2%