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.
SEC-registered adviser
Nomura Asset Management U.S.A. Inc.
Legal name Nomura Asset Management U.S.A. Inc
Latest filing Jun 24, 2026
First filing on the tape Mar 29, 2012 · 51 filings
SEC status approved since Sep 24, 1976
RAUM
$1.0B
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
26
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$1.0B as of Jun 24, 2026
Mar 29, 2012$1.2B then
HNW client RAUM$0 as of Jun 24, 2026
Jun 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2026
Jun 28, 20130 then
Employees (5.A)26 as of Jun 24, 2026
Jun 28, 201367 then
Private funds: 1
RAUM +22% over the last fiscal year+25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 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
- $252MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%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
- -30%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$766M76%
- Pooled investment vehicles$206M20%
- Pension and profit-sharing plans$37.5M3.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.04 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nomura Japan Dual Alpha Fund, Ltdno longer reported | Hedge Fund | $28.2M | 1 | Aug 18, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Steven Aloupis · Board Of Directorcontrolsince 05/2024 · owns less than 5%
- James Eugene Chiulli · Treasurer & Chief Financial Officercontrolsince 05/2024 · owns less than 5%
- Anthony Neil Daniele · Managing Director, Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
- Yuichi Nomoto · President, Ceo, Board Of Directorcontrolsince 04/2019 · owns less than 5%
- Nmn Robert Stark · Board Of Directorcontrolsince 04/2024 · owns less than 5%
- Ken Suzuki · Board Of Directorcontrolsince 05/2024 · owns less than 5%
Entity owners
- Nomura Asset Management Co., Ltd. · Shareholderdirect · owns 75% or more
- Nomura Holdings, Inc. (Formerly Named The Nomura Securities Co., Ltd.) · Stockholderindirect · owns 75% or more of Nomura Asset Management Co., Ltd. · public reporting company
Related persons
Schedule D 7.A
- Instinet, LLCbroker-dealerinvestment advisern
- Nomura Asset Management Co., Ltd.investment adviseryRAUM $602B
- Nomura Asset Management Europe Kvg Mbhinvestment advisern
- Nomura Asset Management Singapore Limitedinvestment advisernRAUM $13B
- Nomura Asset Management Taiwan Ltd.investment advisern
- Nomura Asset Management U.K. Limitedinvestment advisernRAUM $32B
- Nomura Capital Management LLCinvestment advisernRAUM $651M
- Nomura Corporate Research And Asset Management Incinvestment advisernRAUM $38B
- Nomura Securities International, Inc.broker-dealerinvestment advisertrust companyn
Advisers that list Nomura Asset Management U.S.A. Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Jun 24, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (797 comparable advisers, 99.0th percentile, 5.4 robust deviations)peers: asset managers, $1B to $5B (797) · 99% percentile
- RAUM down 25 %Change between filings · filing Jan 20, 2026RAUM (Item 5.F) moved from $826,648,090 to $576,309,090 (-30.0%) between the annual amendments of 2025-04-07 and 2026-01-20; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 3.0% percentile
What changed
consecutive filings, newest first
- Employees · 25 to 26Jan 20, 2026 to Jun 24, 2026
- Discretionary RAUM · $576M to $1.0BJan 20, 2026 to Jun 24, 2026
- Pension RAUM · $34.9M to $37.5MJan 20, 2026 to Jun 24, 2026
- Pooled vehicle RAUM · $20.3M to $206MJan 20, 2026 to Jun 24, 2026
- RAUM · $576M to $1.0BJan 20, 2026 to Jun 24, 2026
- Advisory employees · 6 to 7Apr 7, 2025 to Jun 16, 2025
- Financial planning clients · unset to Apr 7, 2025 to Jun 16, 2025
- Discretionary RAUM · $827M to $576MApr 7, 2025 to Jun 16, 2025
- Pension RAUM · $37.4M to $34.9MApr 7, 2025 to Jun 16, 2025
- Pooled vehicle RAUM · $170M to $20.3MApr 7, 2025 to Jun 16, 2025
- RAUM · $827M to $576MApr 7, 2025 to Jun 16, 2025
- Advisory employees · 7 to 6Apr 16, 2024 to May 29, 2024
- Advisory activities · 4 to 3Apr 16, 2024 to May 29, 2024
- BD registered reps · 5 to 0Apr 16, 2024 to May 29, 2024
- Employees · 46 to 25Apr 16, 2024 to May 29, 2024
- Discretionary RAUM · $675M to $827MApr 16, 2024 to May 29, 2024
- Pension RAUM · $35.9M to $37.4MApr 16, 2024 to May 29, 2024
- Pooled vehicle RAUM · $152M to $170MApr 16, 2024 to May 29, 2024
- RAUM · $675M to $827MApr 16, 2024 to May 29, 2024
- Advisory employees · 1 to 7Apr 5, 2023 to Jun 16, 2023
- BD registered reps · 6 to 5Apr 5, 2023 to Jun 16, 2023
- Employees · 40 to 46Apr 5, 2023 to Jun 16, 2023
- Discretionary RAUM · $512M to $675MApr 5, 2023 to Jun 16, 2023
- Pension RAUM · $41.1M to $35.9MApr 5, 2023 to Jun 16, 2023
- Pooled vehicle RAUM · $153M to $152MApr 5, 2023 to Jun 16, 2023
- RAUM · $512M to $675MApr 5, 2023 to Jun 16, 2023
- BD registered reps · 8 to 6Jun 25, 2021 to Jun 24, 2022
- Discretionary RAUM · $588M to $512MJun 25, 2021 to Jun 24, 2022
- Pension RAUM · $48.1M to $41.1MJun 25, 2021 to Jun 24, 2022
- Pooled vehicle RAUM · $155M to $153MJun 25, 2021 to Jun 24, 2022
- RAUM · $588M to $512MJun 25, 2021 to Jun 24, 2022
- Accounts · 3 to 4Jul 17, 2020 to Jun 25, 2021
- Advisory employees · 2 to 1Jul 17, 2020 to Jun 25, 2021
- BD registered reps · 6 to 8Jul 17, 2020 to Jun 25, 2021
- Pension plan clients · 0 to 1Jul 17, 2020 to Jun 25, 2021
- Employees · 44 to 40Jul 17, 2020 to Jun 25, 2021
- Discretionary RAUM · $402M to $588MJul 17, 2020 to Jun 25, 2021
- Pension RAUM · unset to 48067013.0Jul 17, 2020 to Jun 25, 2021
- Pooled vehicle RAUM · $99.6M to $155MJul 17, 2020 to Jun 25, 2021
- RAUM · $402M to $588MJul 17, 2020 to Jun 25, 2021
Signals
21 dated events
- Nomura Asset Management U.S.A. Inc. reported RAUM $1.0B, up 75% from $576.3M (2026-01-20 to 2026-06-24)Jun 24, 2026 · RAUM change · derived
- Nomura Asset Management U.S.A. Inc. reported RAUM $576.3M, down 30% from $826.6M (2025-04-07 to 2025-06-16)Jun 16, 2025 · RAUM change · derived
- Nmn Robert Stark (Board Of Director) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.May 29, 2024 · Control person joined · fact
- James Eugene Chiulli (Treasurer & Chief Financial Officer) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.May 29, 2024 · Control person joined · fact
- Nicholas Steven Aloupis (Board Of Director) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.May 29, 2024 · Control person joined · fact
- Jessica Amy Robles (Treasurer, Controller) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2024-04-16, absent 2024-05-29)May 29, 2024 · Control person left · inference
- Shinichi Masuda (Chief Administrative Officer, Board Of Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2024-04-16, absent 2024-05-29)May 29, 2024 · Control person left · inference
- Go Hiramatsu (Board Of Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2023-06-16, absent 2024-04-05)Apr 5, 2024 · Control person left · inference
- Ken Suzuki (Director) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.Apr 5, 2024 · Control person joined · fact
- Nomura Asset Management U.S.A. Inc. reported RAUM $675.3M, up 32% from $511.7M (2023-04-05 to 2023-06-16)Jun 16, 2023 · RAUM change · derived
- Zheng Liu (Board Of Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2022-09-19, absent 2023-04-05)Apr 5, 2023 · Control person left · inference
- Shinichi Masuda (Chief Administrative Officer) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.Sep 7, 2022 · Control person joined · fact
- Eugene Shuster (Managing Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2020-07-17, absent 2021-06-25)Jun 25, 2021 · Control person left · inference
- Nomura Asset Management U.S.A. Inc. reported RAUM $587.5M, up 46% from $401.6M (2020-07-17 to 2021-06-25)Jun 25, 2021 · RAUM change · derived
- Gurunath Marti Subrahmanyam (Board Of Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2020-06-26, absent 2020-07-17)Jul 17, 2020 · Control person left · inference
- Go Hiramatsu (Board Of Director) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.Jul 17, 2020 · Control person joined · fact
- Nomura Asset Management U.S.A. Inc. reported RAUM $475.4M, down 62% from $1.2B (2019-06-24 to 2019-10-16)Oct 16, 2019 · RAUM change · derived
- Shalabh Garg (Managing Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2019-06-24, absent 2019-10-16)Oct 16, 2019 · Control person left · inference
- Nomura Asset Management U.S.A. Inc. reported RAUM $1.2B, down 26% from $1.7B (2019-04-22 to 2019-06-24)Jun 24, 2019 · RAUM change · derived
- Eugene Shuster (Chief Risk Officer, Managing Director) appeared on Schedule A of Nomura Asset Management U.S.A. Inc.Apr 22, 2019 · Control person joined · fact
- Yutaka Itabashi (President, Ceo And Director) no longer on Schedule A of Nomura Asset Management U.S.A. Inc. (listed 2018-09-25, absent 2019-04-03)Apr 3, 2019 · Control person left · inference
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
- nomura-asset.com/about-us/namusareportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (212) 667-1414reportedpublic record, Form ADV, Jun 24, 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