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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Former SEC-registered adviser

N••••• A•••• M••••••••• H••• K••• L••••••

Former SEC-registered adviserCentral H••• K•••, CRD 108226SEC 801-57909IAPD
Latest filing Jun 21, 2019
First filing on the tape Mar 29, 2012 · 18 filings
RAUM
$699M
reported, Item 5.F
Discretionary
95%
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
16
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$699M as of Jun 21, 2019
Jun 29, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 21, 2019
Jun 26, 20130 then
Employees (5.A)16 as of Jun 21, 2019
Jun 26, 201317 then
Private funds: no history
RAUM -14% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2019; 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
$99.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
95%derivedof RAUM
Institutional
78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-14%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 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
  • Sovereign wealth funds$545M78%
  • Pooled investment vehicles$153M22%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••• T•••• · Directorcontrol
        since 07/2013 · owns less than 5%
      • K•••• S•••••• · President, Directorcontrol
        since 12/2017 · owns less than 5%
      • L•• M•••••• · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      • T•••••• M••••• · Directorcontrol
        since 08/2018 · owns less than 5%
      Entity owners
      • N••••• A•••• M••••••••• C••• L••• · Sole Stockholder
        direct · owns 75% or more
      • N••••• H•••••••• I••• •••••••• N•••• T•• N••••• S••••••••• C••• L•••• · Stockholder
        indirect · owns 75% or more of N••••• A•••• M••••••••• C••• L••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list N••••• A•••• M••••••••• H••• K••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 7
        Jun 22, 2018 to Jun 21, 2019
      • Pooled vehicle clients · 7 to 6
        Jun 22, 2018 to Jun 21, 2019
      • Employees · 17 to 16
        Jun 22, 2018 to Jun 21, 2019
      • Discretionary RAUM · $768M to $666M
        Jun 22, 2018 to Jun 21, 2019
      • Non-discretionary RAUM · $40.3M to $32.9M
        Jun 22, 2018 to Jun 21, 2019
      • Pooled vehicle RAUM · $225M to $153M
        Jun 22, 2018 to Jun 21, 2019
      • RAUM · $808M to $699M
        Jun 22, 2018 to Jun 21, 2019
      • Pooled vehicle clients · unset to 7.0
        Jan 2, 2018 to Jun 22, 2018
      • Discretionary RAUM · $552M to $768M
        Jan 2, 2018 to Jun 22, 2018
      • Non-discretionary RAUM · $124M to $40.3M
        Jan 2, 2018 to Jun 22, 2018
      • Pooled vehicle RAUM · unset to 225083785.0
        Jan 2, 2018 to Jun 22, 2018
      • RAUM · $676M to $808M
        Jan 2, 2018 to Jun 22, 2018
      • Advisory activities · 4 to 3
        Jun 20, 2017 to Jan 2, 2018
      • Financial planning clients · unset to 0
        Jun 20, 2017 to Jan 2, 2018
      • Other offices · unset to 1.0
        Jun 20, 2017 to Jan 2, 2018
      • Accounts · 11 to 8
        Jun 27, 2016 to Jun 20, 2017
      • Discretionary RAUM · $534M to $552M
        Jun 27, 2016 to Jun 20, 2017
      • Non-discretionary RAUM · $146M to $124M
        Jun 27, 2016 to Jun 20, 2017
      • RAUM · $680M to $676M
        Jun 27, 2016 to Jun 20, 2017
      • Discretionary RAUM · $661M to $534M
        Jul 13, 2015 to Jun 27, 2016
      • Non-discretionary RAUM · $218M to $146M
        Jul 13, 2015 to Jun 27, 2016
      • RAUM · $879M to $680M
        Jul 13, 2015 to Jun 27, 2016
      • Employees · 18 to 17
        Jun 30, 2014 to Jun 25, 2015
      • Discretionary RAUM · $643M to $661M
        Jun 30, 2014 to Jun 25, 2015
      • Non-discretionary RAUM · $194M to $218M
        Jun 30, 2014 to Jun 25, 2015
      • RAUM · $838M to $879M
        Jun 30, 2014 to Jun 25, 2015
      • Employees · 17 to 18
        Apr 30, 2014 to Jun 30, 2014
      • Discretionary RAUM · $782M to $643M
        Apr 30, 2014 to Jun 30, 2014
      • Non-discretionary RAUM · $328M to $194M
        Apr 30, 2014 to Jun 30, 2014
      • RAUM · $1.1B to $838M
        Apr 30, 2014 to Jun 30, 2014
      • RAUM · $1.4B to $1.1B
        Apr 16, 2013 to Jun 26, 2013
      • Accounts · 12 to 11
        Apr 16, 2013 to Jun 26, 2013
      • Employees · 16 to 17
        Apr 16, 2013 to Jun 26, 2013
      • Discretionary RAUM · $1.1B to $782M
        Apr 16, 2013 to Jun 26, 2013
      • Non-discretionary RAUM · $313M to $328M
        Apr 16, 2013 to Jun 26, 2013
      • Advisory employees · unset to 6.0
        Jun 29, 2012 to Apr 15, 2013
      • Employees · unset to 16.0
        Jun 29, 2012 to Apr 15, 2013
      • State-registered IARs · unset to 0.0
        Jun 29, 2012 to Apr 15, 2013
      • Discretionary RAUM · $982M to $1.1B
        Mar 29, 2012 to Jun 29, 2012
      • Non-discretionary RAUM · $231M to $313M
        Mar 29, 2012 to Jun 29, 2012
      Signals
      2 dated events
      • Kenichi Suzuki (Director) no longer on Schedule A of N••••• A•••• M••••••••• H••• K••• L•••••• (listed 2018-06-22, absent 2019-06-21)
        Jun 21, 2019 · Control person left · inference
      • Minoru Tanabe (Director) appeared on Schedule A of N••••• A•••• M••••••••• H••• K••• L••••••
        Jun 21, 2019 · 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.
      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
      Former SEC-registered adviserderiveda 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