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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

DAIWA ASSET MANAGEMENT (AMERICA) LTD

DAIWA ASSET MANAGEMENT (AMERICA) LTD., CRD 126191

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:eab0aa82-19af-48c8-aa7b-36856abe8f27

Data as of Jun 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 7
On other graphs: 0
Observed: Mar 9, 2012 to Jun 23, 2026
52 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricRIA / WealthAdvisor Recruiting Intelligence

Daiwa Asset Management (America) Ltd reported RAUM $6.0B, up 246% from $1.7B (2026-03-20 to 2026-06-23)

Dated 2026-06-23 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

Advisor Recruiting IntelligenceJun 23, 2026 · seen 5 days ago

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: other adviserderivedprivate_client_share=0.0 fund_share=0.31 institutional_share=0.69 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $6.0BItem 5.F on the latest filing (2026-06-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $6.0B
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: 12
Advisory employees: 11
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 17
SEC number: 801-72608
CRD: 126191
Filings on the tape: 52
First filed: Mar 9, 2012
Latest filed: Jun 23, 2026
Organised: Corporation, NY

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
DAIWA ASSET MANAGEMENT CO. LTD.	SHARE HOLDER	E	yes	08/1990	Mar 9, 2012	Oct 2, 2024
DAIWA SECURITIES GROUP INC.	SHARE HOLDER	E	yes	08/1999	Mar 9, 2012	Oct 2, 2024
Furukawa, Shintaro	Director	Na	no	06/2023	Jun 20, 2023	Oct 2, 2024
Horinouchi, Yoshihiro	President	Na	no	04/2023	Mar 28, 2023	Oct 2, 2024
JAPAN POST INSURANCE	ACQUISITION OF 20% CAPITAL	F	no	10/2024	Oct 2, 2024	Oct 2, 2024
SPAGNOLETTI, EFRAIM	CHIEF COMPLIANCE OFFICER	Na	no	08/2014	Aug 27, 2014	Oct 2, 2024
TAHARA, ATSUSHI	Director	Na	no	04/2018	Mar 9, 2012	Oct 2, 2024

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
DAIWA ASSET MANAGEMENT (EUROPE) LTD.	n/a	n/a	n/a	N	yes	n/a
DAIWA ASSET MANAGEMENT CO. LTD.	n/a	n/a	n/a	Y	yes	n/a
DAIWA ASSET MANAGEMENT(SINGAPORE) LTD.	n/a	n/a	n/a	N	yes	n/a
DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC.	n/a	n/a	n/a	N	yes	n/a
DAIWA SECURITIES CO. LTD.	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; showing 14 of 16

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 20, 2026	$1.7B	$1.7B	9	7	0	n/a	n/a
2024	Feb 6, 2025	$2.1B	$2.1B	8	6	0	n/a	n/a
2023	Jun 20, 2023	$1.8B	$1.8B	10	8	0	n/a	n/a
2022	Jun 29, 2022	$1.9B	$1.9B	8	6	0	n/a	n/a
2021	Jun 29, 2021	$693M	$693M	9	7	0	n/a	n/a
2020	Jun 26, 2020	$254M	$94.8M	16	14	0	n/a	n/a
2019	Jun 27, 2019	$374M	$117M	19	17	0	n/a	n/a
2018	Jun 28, 2018	$513M	$148M	16	14	0	n/a	n/a
2017	Jun 29, 2017	$699M	$148M	17	14	n/a	n/a	n/a
2016	Jun 30, 2016	$361M	$135M	15	12	n/a	n/a	n/a
2015	Jun 30, 2015	$650M	$218M	17	14	n/a	n/a	n/a
2014	Jun 11, 2014	$758M	$295M	16	13	n/a	n/a	n/a
2013	Jun 7, 2013	$635M	$464M	16	13	n/a	n/a	n/a
2012	Jun 29, 2012	$1.3B	$697M	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
2025	$6.0B	$2.1B	183.3%	$1.9B	46.3%	12	8	0	0

Relationships

Owns (5)

← TAHARA, ATSUSHIOwnerDIRECTOR, ownership code NA, individual
Mar 9, 2012 to Oct 2, 2024factForm ADV
← SPAGNOLETTI, EFRAIMOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 27, 2014 to Oct 2, 2024factForm ADV
← Horinouchi, YoshihiroOwnerPRESIDENT, ownership code NA, individual
Mar 28, 2023 to Oct 2, 2024factForm ADV
← Furukawa, ShintaroOwnerDIRECTOR, ownership code NA, individual
Jun 20, 2023 to Oct 2, 2024factForm ADV
← JAPAN POST INSURANCEOwnerACQUISITION OF 20% CAPITAL, ownership code F, foreign entity
Oct 2, 2024 to Oct 2, 2024factForm ADV

Controls (2)

← DAIWA ASSET MANAGEMENT CO. LTD.OwnerSHARE HOLDER, ownership code E, foreign entity
Mar 9, 2012 to Oct 2, 2024factForm ADV
← DAIWA SECURITIES GROUP INC.OwnerSHARE HOLDER, ownership code E, foreign entity
Mar 9, 2012 to Oct 2, 2024factForm ADV

Dated events

Occurred
Jun 23, 2026
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $6.0B, up 246% from $1.7B (2026-03-20 to 2026-06-23)
Form ADVobserved 5 days ago
$4.2B
Occurred
Jun 29, 2022
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $1.9B, up 175% from $693.1M (2021-10-07 to 2022-06-29)
Form ADVobserved 5 days ago
$1.2B
Occurred
Oct 7, 2021
Control person left
Jun Shiota (President) no longer on Schedule A of Daiwa Asset Management (America) Ltd (listed 2021-06-30, absent 2021-10-07)
Form ADVobserved 5 days ago
Occurred
Jun 29, 2021
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $693.1M, up 173% from $254.3M (2020-06-26 to 2021-06-29)
Form ADVobserved 5 days ago
$439M
Occurred
Jun 26, 2020
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $254.3M, down 32% from $374.3M (2019-11-22 to 2020-06-26)
Form ADVobserved 5 days ago
$-120M
Occurred
Jun 27, 2019
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $374.3M, down 27% from $513.1M (2018-10-31 to 2019-06-27)
Form ADVobserved 5 days ago
$-139M
Occurred
Jun 28, 2018
Regulatory AUM changed
Daiwa Asset Management (America) Ltd reported RAUM $513.1M, down 27% from $699.2M (2018-05-02 to 2018-06-28)
Form ADVobserved 5 days ago
$-186M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eab0aa82-19af-48c8-aa7b-36856abe8f27
First observed: Mar 9, 2012
Last observed: Jun 23, 2026 2 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.

DAIWA ASSET MANAGEMENT (AMERICA) LTD

DAIWA ASSET MANAGEMENT (AMERICA) LTD., CRD 126191

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:eab0aa82-19af-48c8-aa7b-36856abe8f27

Data as of Jun 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DAIWA ASSET MANAGEMENT CO. LTD.

SHARE HOLDER

yes

08/1990

Mar 9, 2012

Oct 2, 2024

DAIWA SECURITIES GROUP INC.

SHARE HOLDER

yes

08/1999

Mar 9, 2012

Oct 2, 2024

Furukawa, Shintaro

Director

06/2023

Jun 20, 2023

Oct 2, 2024

Horinouchi, Yoshihiro

President

04/2023

Mar 28, 2023

Oct 2, 2024

JAPAN POST INSURANCE

ACQUISITION OF 20% CAPITAL

10/2024

Oct 2, 2024

SPAGNOLETTI, EFRAIM

CHIEF COMPLIANCE OFFICER

08/2014

Aug 27, 2014

Oct 2, 2024

TAHARA, ATSUSHI

Director

04/2018

Mar 9, 2012

Oct 2, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

DAIWA ASSET MANAGEMENT (EUROPE) LTD.

n/a

yes

n/a

DAIWA ASSET MANAGEMENT CO. LTD.

n/a

yes

n/a

DAIWA ASSET MANAGEMENT(SINGAPORE) LTD.

n/a

yes

n/a

DAIWA CAPITAL MANAGEMENT SILICON VALLEY INC.

n/a

yes

n/a

DAIWA SECURITIES CO. LTD.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 20, 2026

$1.7B

n/a

2024

Feb 6, 2025

$2.1B

n/a

2023

Jun 20, 2023

$1.8B

n/a

2022

Jun 29, 2022

$1.9B

n/a

2021

Jun 29, 2021

$693M

n/a

2020

Jun 26, 2020

$254M

$94.8M

n/a

2019

Jun 27, 2019

$374M

$117M

n/a

2018

Jun 28, 2018

$513M

$148M

n/a

2017

Jun 29, 2017

$699M

$148M

n/a

2016

Jun 30, 2016

$361M

$135M

n/a

2015

Jun 30, 2015

$650M

$218M

n/a

2014

Jun 11, 2014

$758M

$295M

n/a

2013

Jun 7, 2013

$635M

$464M

n/a

2012

Jun 29, 2012

$1.3B

$697M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$6.0B

$2.1B

183.3%

$1.9B

46.3%