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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Kate A Mastalerz

Advisor at NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

PHILADELPHIA, PA | 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:d7daf5a9-99cb-5274-f709-e055cf4ecc6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jan 24, 2014 to Sep 15, 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: Jan 17, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jan 17, 2014
First registration: Jan 24, 2014
Dual registered: yes, broker-dealer
Other names: Kate Ann Mastalerz
IAPD individual key: 5937388

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	New York, NY\|PHILADELPHIA, PA	Current employment
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Former SEC adviser	Mar 20, 2020	Apr 20, 2020	no	PHILADELPHIA, PA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jan 24, 2014	Dec 11, 2014	no	NEW YORK, NY	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
UBS FINANCIAL SERVICES INC.	DELAWARE CAPITAL MANAGEMENT ADVISERS, INC	Dec 11, 2014	Mar 20, 2020	1,926	Firm change after gap	Other

Relationships

Registered with (3)

→ NOMURA INVESTMENT MANAGEMENT BUSINESS TRUSTRegistered adviserregistration: current employment
Apr 20, 2020 to presentfactForm ADV
→ DELAWARE CAPITAL MANAGEMENT ADVISERS, INCRegistered adviserregistration: previous registration
Mar 20, 2020 to Apr 20, 2020factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jan 24, 2014 to Dec 11, 2014factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7daf5a9-99cb-5274-f709-e055cf4ecc6a
First observed: Jan 24, 2014
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed 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.

Kate A Mastalerz

Advisor at NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

PHILADELPHIA, PA | 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:d7daf5a9-99cb-5274-f709-e055cf4ecc6a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:29 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

Asset manager

Apr 20, 2020

n/a

yes

New York, NY|PHILADELPHIA, PA

Current employment

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

Former SEC adviser

Mar 20, 2020

Apr 20, 2020

PHILADELPHIA, PA

Previous registration

UBS FINANCIAL SERVICES INC.

Wirehouse

Jan 24, 2014

Dec 11, 2014

NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

Apr 20, 2020

Bulk transfer

Other

UBS FINANCIAL SERVICES INC.

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

Dec 11, 2014

Mar 20, 2020

1,926

Firm change after gap

Other