DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
I•••••• A•••• M••••••••• •••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Dec 21, 2011 · 39 filings
SEC status approved since Jul 1, 1996
RAUM
$76B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
116
22 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$76B as of Mar 31, 2026
Jun 25, 2012$16B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jun 25, 20120 then
Employees (5.A)116 as of Mar 31, 2026
Jun 5, 2013125 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $400MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$70B93%
- Pension and profit-sharing plans$4.6B6.0%
- Insurance companies$555M0.7%
- Sovereign wealth funds$401M0.5%
- Other investment advisers$31.9M0.0%
- Corporations and businesses$29.3M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 30reported
- Charitable clients
- 0reported
- Accounts
- 190reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.07 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• M••••••• · Statutory Auditorcontrolsince 04/2020 · owns less than 5%
- M•••••• T•••••• · Directorcontrolsince 04/2020 · owns less than 5%
- M••••••••• T•••• · Ciocontrolsince 06/2024 · owns less than 5%
- M••••••••• T••••••• · Ccocontrolsince 05/2016 · owns less than 5%
- S•••• H••••• · Ceocontrolsince 09/2012 · owns less than 5%
- S••••••• J•••••• C•••••• · Directorcontrolsince 02/2009 · owns less than 5%
Entity owners
- I•••••• F•• E••• L•••••• · Shareholderdirect · owns 75% or more
- I•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• F•• E••• L•••••• · public reporting company
Related persons
Schedule D 7.A
- H••••••••• A•••• M••••••••• C•••••••••investment adviserbankpooled vehicle sponsornRAUM $386M
- Redblack Advisers, Inc.investment advisernRAUM $824M
- I•••••• A•••••••• I•••investment adviserbanknRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment advisernRAUM $188B
- I••••••investment adviserbankpooled vehicle sponsornRAUM $20B
- I•••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $941B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• C•• E••••• F••• 3• L•••investment adviserpooled vehicle sponsorn
- I•••••• C•• E••••• F••• I• L•••investment adviserpooled vehicle sponsorn
- I•••••• D••••••••• I•••broker-dealern
- I•••••• E••••••• Rr L.Pinvestment advisernRAUM $1.4B
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I••••••••• A••••••• L••investment advisernRAUM $4.4B
- I•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- I•••••• L••• M••••••• L••investment adviserpooled vehicle sponsornRAUM $18B
- I•••••• M•••••• A•••••••• L••investment advisernRAUM $31B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• Rr Fund L.Pinvestment adviserpooled vehicle sponsornRAUM $3.6B
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsorn
- I•••••• T•••• C••••••n
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- O••••••••• I••investment adviserpooled vehicle sponsornRAUM $827,684
- W• R••• • C•• L••investment adviserbankpooled vehicle sponsornRAUM $225M
Advisers that list I•••••• A•••• M••••••••• •••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 198 to 190May 12, 2025 to Mar 31, 2026
- Advisory employees · 23 to 22May 12, 2025 to Mar 31, 2026
- Advisory activities · 5 to 4May 12, 2025 to Mar 31, 2026
- Charity clients · unset to 0.0May 12, 2025 to Mar 31, 2026
- HNW clients · unset to 0.0May 12, 2025 to Mar 31, 2026
- Individual clients · unset to 0.0May 12, 2025 to Mar 31, 2026
- Pension plan clients · 39 to 30May 12, 2025 to Mar 31, 2026
- Pooled vehicle clients · 132 to 140May 12, 2025 to Mar 31, 2026
- Employees · 110 to 116May 12, 2025 to Mar 31, 2026
- Discretionary RAUM · $61B to $76BMay 12, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $57.0M to $31.9MMay 12, 2025 to Mar 31, 2026
- Pension RAUM · $3.1B to $4.6BMay 12, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $57B to $70BMay 12, 2025 to Mar 31, 2026
- RAUM · $62B to $76BMay 12, 2025 to Mar 31, 2026
- Financial planning clients · unset to Apr 15, 2025 to May 12, 2025
- Accounts · 234 to 198Feb 3, 2025 to Apr 15, 2025
- Advisory employees · 26 to 23Feb 3, 2025 to Apr 15, 2025
- Pension plan clients · 44 to 39Feb 3, 2025 to Apr 15, 2025
- Pooled vehicle clients · 125 to 132Feb 3, 2025 to Apr 15, 2025
- Employees · 114 to 110Feb 3, 2025 to Apr 15, 2025
- Discretionary RAUM · $56B to $61BFeb 3, 2025 to Apr 15, 2025
- Non-discretionary RAUM · $215M to $57.0MFeb 3, 2025 to Apr 15, 2025
- Pension RAUM · $4.9B to $3.1BFeb 3, 2025 to Apr 15, 2025
- Pooled vehicle RAUM · $49B to $57BFeb 3, 2025 to Apr 15, 2025
- RAUM · $57B to $62BFeb 3, 2025 to Apr 15, 2025
- HQ state · unset to Jul 2, 2024 to Feb 3, 2025
- Accounts · 251 to 234Jul 11, 2023 to Mar 28, 2024
- Pension plan clients · 46 to 44Jul 11, 2023 to Mar 28, 2024
- Pooled vehicle clients · 133 to 125Jul 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $49B to $56BJul 11, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $229M to $215MJul 11, 2023 to Mar 28, 2024
- Pension RAUM · $6.1B to $4.9BJul 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $40B to $49BJul 11, 2023 to Mar 28, 2024
- RAUM · $49B to $57BJul 11, 2023 to Mar 28, 2024
- Accounts · 217 to 251Mar 30, 2022 to Mar 30, 2023
- Advisory employees · 27 to 26Mar 30, 2022 to Mar 30, 2023
- Charity clients · 0.0 to unsetMar 30, 2022 to Mar 30, 2023
- HNW clients · 0.0 to unsetMar 30, 2022 to Mar 30, 2023
- Individual clients · 0.0 to unsetMar 30, 2022 to Mar 30, 2023
- Pension plan clients · 47 to 46Mar 30, 2022 to Mar 30, 2023
Signals
5 dated events
- Daiji Ozawa (Director) no longer on Schedule A of I•••••• A•••• M••••••••• •••••• L•••••• (listed 2024-03-28, absent 2024-07-02)Jul 2, 2024 · Control person left · inference
- Tadao Minaguchi (Cio) appeared on Schedule A of I•••••• A•••• M••••••••• •••••• L••••••Jul 2, 2024 · Control person joined · fact
- I•••••• A•••• M••••••••• •••••• L•••••• reported RAUM $47.2B, up 36% from $34.8B (2021-06-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- I•••••• A•••• M••••••••• •••••• L•••••• reported RAUM $34.8B, up 43% from $24.4B (2020-04-06 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Takashi Matsuo (Director) appeared on Schedule A of I•••••• A•••• M••••••••• •••••• L••••••Apr 6, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- i••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +81-3-6447-3000reportedpublic record, Form ADV, Mar 31, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026