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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NOMURA ASSET MANAGEMENT HONG KONG LIMITED

CRD 108226

CENTRAL HONG KONG

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:cc751e27-4b19-34e0-fc2c-e344aeebae83

Data as of Jun 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 2
On other graphs: 0
Observed: Mar 29, 2012 to Jun 21, 2019
18 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: $699MItem 5.F on the latest filing (2019-06-21); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $666M
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: 16
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 7
SEC number: 801-57909
CRD: 108226
Filings on the tape: 18
First filed: Mar 29, 2012
Latest filed: Jun 21, 2019
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
KOSUMI, TOMOO	Director	Na	yes	07/2013	Jul 30, 2013	Jun 21, 2019
Kubo, Seisaku	PRESIDENT, DIRECTOR	Na	yes	12/2017	Jan 2, 2018	Jun 21, 2019
LI, MICHAEL	CHIEF COMPLIANCE OFFICER	Na	yes	06/2013	Jun 26, 2013	Jun 21, 2019
NOMURA ASSET MANAGEMENT CO., LTD.	SOLE STOCKHOLDER	E	yes	02/1988	Mar 29, 2012	Jun 21, 2019
NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.)	Stockholder	E	yes	12/1959	Mar 29, 2012	Jun 21, 2019
TANABE, MINORU	Director	Na	yes	08/2018	Jun 21, 2019	Jun 21, 2019

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 ASSET MANAGEMENT CO., LTD.	n/a	Asset manager	$602B	N	yes	n/a
NOMURA ASSET MANAGEMENT U.K. LIMITED	n/a	Former SEC adviser	$32B	N	yes	n/a
NOMURA ASSET MANAGEMENT U.S.A. INC	n/a	Asset manager	$1.0B	N	yes	n/a
INSTINET PACIFIC LIMITED	n/a	n/a	n/a	N	yes	n/a
NOMURA INTERNATIONAL (HONG KONG) LIMITED	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
2019	Jun 21, 2019	$699M	$666M	16	6	1	n/a	n/a
2018	Jun 22, 2018	$808M	$768M	17	6	1	n/a	n/a
2017	Jun 20, 2017	$676M	$552M	17	6	n/a	n/a	n/a
2016	Jun 27, 2016	$680M	$534M	17	6	n/a	n/a	n/a
2015	Jun 25, 2015	$879M	$661M	17	6	n/a	n/a	n/a
2014	Jun 30, 2014	$838M	$643M	18	6	n/a	n/a	n/a
2013	Jun 26, 2013	$1.1B	$782M	17	6	n/a	n/a	n/a
2012	Jun 29, 2012	$1.4B	$1.1B	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
2019	$699M	$808M	-13.6%	$680M	0.9%	16	17	1	1

Relationships

Affiliated with (6)

← NOMURA ASSET MANAGEMENT CO., LTD.Registered adviserother investment adviser, control, common control
factForm ADV
← NOMURA ASSET MANAGEMENT SINGAPORE LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ NOMURA ASSET MANAGEMENT U.S.A. INC.Registered adviserother investment adviser, common control
factForm ADV
→ NOMURA ASSET MANAGEMENT CO., LTD.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NOMURA ASSET MANAGEMENT U.K. LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
← NOMURA FUNDS RESEARCH AND TECHNOLOGIES AMERICA INC.Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← KOSUMI, TOMOOOwnerDIRECTOR, ownership code NA, individual
Jul 30, 2013 to presentfactForm ADV
← TANABE, MINORUOwnerDIRECTOR, ownership code NA, individual
Jun 21, 2019 to presentfactForm ADV
← LI, MICHAELOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 26, 2013 to presentfactForm ADV
← Kubo, SeisakuOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Jan 2, 2018 to presentfactForm ADV
← NOMURA ASSET MANAGEMENT CO., LTD.OwnerSOLE STOCKHOLDER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV
← NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.)OwnerSTOCKHOLDER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV

Dated events

Occurred
Jun 21, 2019
Control person left
Kenichi Suzuki (Director) no longer on Schedule A of Nomura Asset Management Hong Kong Limited (listed 2018-06-22, absent 2019-06-21)
Form ADVobserved 4 days ago
Occurred
Jun 21, 2019
Control person joined
Minoru Tanabe (Director) appeared on Schedule A of Nomura Asset Management Hong Kong Limited
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cc751e27-4b19-34e0-fc2c-e344aeebae83
First observed: Mar 29, 2012
Last observed: Jun 21, 2019 88 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.

NOMURA ASSET MANAGEMENT HONG KONG LIMITED

CRD 108226

CENTRAL HONG KONG

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:cc751e27-4b19-34e0-fc2c-e344aeebae83

Data as of Jun 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

KOSUMI, TOMOO

Director

yes

07/2013

Jul 30, 2013

Jun 21, 2019

Kubo, Seisaku

PRESIDENT, DIRECTOR

yes

12/2017

Jan 2, 2018

Jun 21, 2019

LI, MICHAEL

CHIEF COMPLIANCE OFFICER

yes

06/2013

Jun 26, 2013

Jun 21, 2019

NOMURA ASSET MANAGEMENT CO., LTD.

SOLE STOCKHOLDER

yes

02/1988

Mar 29, 2012

Jun 21, 2019

NOMURA HOLDINGS, INC. (FORMERLY NAMED THE NOMURA SECURITIES CO., LTD.)

Stockholder

yes

12/1959

Mar 29, 2012

Jun 21, 2019

TANABE, MINORU

Director

yes

08/2018

Jun 21, 2019

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

NOMURA ASSET MANAGEMENT CO., LTD.

n/a

Asset manager

$602B

yes

n/a

NOMURA ASSET MANAGEMENT U.K. LIMITED

n/a

Former SEC adviser

$32B

yes

n/a

NOMURA ASSET MANAGEMENT U.S.A. INC

n/a

Asset manager

$1.0B

yes

n/a

INSTINET PACIFIC LIMITED

n/a

yes

n/a

NOMURA INTERNATIONAL (HONG KONG) LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Jun 21, 2019

$699M

$666M

n/a

2018

Jun 22, 2018

$808M

$768M

n/a

2017

Jun 20, 2017

$676M

$552M

n/a

2016

Jun 27, 2016

$680M

$534M

n/a

2015

Jun 25, 2015

$879M

$661M

n/a

2014

Jun 30, 2014

$838M

$643M

n/a

2013

Jun 26, 2013

$1.1B

$782M

n/a

2012

Jun 29, 2012

$1.4B

$1.1B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$699M

$808M

-13.6%

$680M

0.9%