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
A•••• M••••••••• O•• U•• I•••
Latest filing May 29, 2026
First filing on the tape Mar 30, 2012 · 51 filings
SEC status approved since Oct 3, 1997
RAUM
$2.9B
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
32
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$2.9B as of May 29, 2026
Mar 30, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2026
Mar 30, 20120 then
Employees (5.A)32 as of May 29, 2026
Mar 12, 201313 then
Private funds4 as of May 29, 2026
Mar 30, 20125 then
RAUM -60% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 29, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- institutional asset m•••••• · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $193MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 78%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
- -60%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, hourly, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
- Custody
- $191M, 5 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$2.3B78%
- Other investment advisers$453M16%
- Pooled investment vehicles$191M6.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $191M for 5 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.22 institutional_share=0.78 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
30 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•• F••••• F••• 4•no longer reported | Hedge Fund | $735M | 1 | Mar 29, 2020 |
| A•• F••••• F••• 1•no longer reported | Hedge Fund | $456M | 1 | Mar 29, 2020 |
| P•••• S••••• D••• U• A•••••••• B••• F•••no longer reported | Other Private Fund | $335M | 1 | Mar 30, 2012 |
| A•••• M••••••••• O•• M••••• F••• S•• • L•••••••• P•••••••• S•no longer reported | Liquidity Fund | $330M | 1 | Mar 29, 2020 |
| P•••• S••••• F•••• I••••• I•no longer reported | Other Private Fund | $176M | 1 | Mar 30, 2012 |
| A•••• M••••••••• O•• M••••• F••• S•• • Q••••••••• E••••• P•••••••• S•no longer reported | Hedge Fund | $93.5M | 1 | Mar 29, 2020 |
| A•• F••••• F••• 3•no longer reported | Hedge Fund | $91.5M | 1 | Mar 29, 2020 |
| D••• R••••••• E••••• F•••no longer reported | Other Private Fund | $86.8M | 6 | Mar 30, 2012 |
| D••• U•••••• C•••••• C••• S••••••• F•••no longer reported | Other Private Fund | $79.9M | 1 | Mar 28, 2014 |
| M•• B••••• F••• | Hedge Fund | $55.4M | 1 | Mar 23, 2012 |
| A•• D•••••• R••• P••••• M••••• F•••• L•• | Hedge Fund | $51.6M | 2 | Apr 30, 2024 |
| M•• B••••• F••• I•no longer reported | Other Private Fund | $51.4M | 1 | Mar 30, 2015 |
| C•••• A•••• T•••• F•••no longer reported | Hedge Fund | $48.1M | 1 | Mar 28, 2018 |
| T•• M••••••no longer reported | Other Private Fund | $37.8M | 300 | Mar 30, 2012 |
| A•• F••••• F••• 5•no longer reported | Hedge Fund | $27.9M | 1 | Mar 29, 2020 |
| G••••• F•••• I••••• F••••• F•••no longer reported | Hedge Fund | $27.6M | 1 | Mar 28, 2018 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• D•••••••• S•no longer reported | Hedge Fund | $26.2M | 7 | Mar 29, 2020 |
| D••• E••••••• A••••• F••• L••••••no longer reported | Other Private Fund | $25.0M | 1 | Mar 30, 2012 |
| A•• D•••••• R••• P••••• O••••••• F•••• L•• | Hedge Fund | $24.9M | 1 | Apr 30, 2024 |
| A•••• M••••••••• O•• F••••• F••• • A•• F••••• F••• 2• | Hedge Fund | $19.9M | 5 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • Q••••••••• F•••• I••••• P•••••••• S•no longer reported | Hedge Fund | $14.7M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • Q••••••••• M•••• S••••••• P•••••••• S•no longer reported | Hedge Fund | $13.2M | 2 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• V•••• • F••••••••• S•no longer reported | Hedge Fund | $11.6M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• F•••• I••••• S•no longer reported | Hedge Fund | $7.5M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• F••••• F••• • A•• A••• F••••• F••• ••• V••• | Hedge Fund | $6.9M | 2 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• M••••• I•••••••• • F••••••••• S•no longer reported | Hedge Fund | $4.2M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• E••••• S•no longer reported | Hedge Fund | $2.4M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• C•••• • F••••••••• S•no longer reported | Hedge Fund | $2.3M | 7 | Mar 29, 2020 |
| A•••• M••••••••• O•• M••••• F••• S•• • A•• M••••••• • F••••••••• S•no longer reported | Hedge Fund | $1.9M | 7 | Mar 29, 2020 |
| A•• D•••••• R••• P••••• O•••••• F•••• L•• | Hedge Fund | $0 | 0 | Apr 30, 2024 |
Owners and control persons
Schedule A and B, latest filing
- I••••••• M••••••• N•• · Directorcontrolsince 04/2024 · owns less than 5%
- K•••••• Y•••• N•• · Executive Vice President & Chief Administrative Officercontrolsince 04/2023 · owns less than 5%
- O••• K••••••• N•• · Directorcontrolsince 04/2024 · owns less than 5%
- O•••••• S••••••• N•• · Director, Ceo & Presidentcontrolsince 04/2022 · owns less than 5%
- F•••••••• K•••••• H•••••••• · Chief Compliance Officersince 03/2014 · owns less than 5%
Entity owners
- D••••••• L••• H•••••••• I••• · Direct Parent Companydirect · owns 25% to 50%
- M••••• A••••••• L•• · Direct Parent Companydirect · owns 50% to 75%
- M••••• B•••• L••• · Intermeidate And Indirect Parentindirect · owns 50% to 75% of M••••• A••••••• L••
- M••••• F•••••••• G•••• · Ultimate And Indirect Parentindirect · owns 50% to 75% of M••••• B•••• L•••
Related persons
Schedule D 7.A
- A•••• M••••••••• O•• A••••••••• I••••••••• L•••investment advisern
- A•••• M••••••••• O•• C••• L•••investment adviserbankpooled vehicle sponsoryRAUM $471B
- A•••• M••••••••• O•• H••• K••• L••••••investment advisern
- A•••• M••••••••• O•• I••••••••• L•••investment advisern
- A•••• M••••••••• O•• S•••••••• P••• L•••investment advisern
- C•••••• B••• O• J••••• L•••n
- D••••••• L••• H••••••• I•••real estatey
- D•• N•••• A••••••• I•••real estaten
- G•••••••• • C••• L••broker-dealern
- M••••• A••••••• L••n
- M••••• B••• ••••custodiann
- M••••• B•••• L•••n
- M••••• F•••••••• G••••• I•••y
- M••••• S••••••••• C••• L•••broker-dealertrust companyn
- M••••• S••••••••• U•• L••broker-dealertrust companyn
- M••••• T•••• • B•••••• ••••••••• S•••custodiann
- M••••• T•••• • B•••••• C•••••••investment companyn
- P••••••••• L••• I•••••••• C••••••real estaten
- T•• D••••••• F••••••• L••• I•••••••• C••• L•••real estaten
- T•• D••••••• L••• I•••••••• C••••••• L••••••real estaten
Advisers that list A•••• M••••••••• O•• U•• I••• 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 May 29, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (43 comparable advisers, 100.0th percentile, 5.4 robust deviations)peers: institutional managers, $1B to $5B (43) · 100% percentile
- RAUM down 50 %Change between filings · filing Apr 30, 2026RAUM (Item 5.F) moved from $7,299,415,681 to $2,895,930,826 (-60.0%) between the annual amendments of 2025-04-29 and 2026-04-30; the peer median change was +15.0% (105 comparable advisers, 1.0th percentile of changes)peers: institutional managers, $1B to $5B (105) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 26 to 15Apr 29, 2025 to Mar 30, 2026
- Advisory employees · 25 to 18Apr 29, 2025 to Mar 30, 2026
- Corporate clients · 1.0 to unsetApr 29, 2025 to Mar 30, 2026
- Pension plan clients · 1.0 to unsetApr 29, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 5Apr 29, 2025 to Mar 30, 2026
- Assets in custody · $240M to $191MApr 29, 2025 to Mar 30, 2026
- Employees · 43 to 32Apr 29, 2025 to Mar 30, 2026
- Private funds · 6 to 4Apr 29, 2025 to Mar 30, 2026
- Discretionary RAUM · $7.3B to $2.9BApr 29, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $15.4M to $0Apr 29, 2025 to Mar 30, 2026
- Pension RAUM · 28241716.0 to unsetApr 29, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $240M to $191MApr 29, 2025 to Mar 30, 2026
- RAUM · $7.3B to $2.9BApr 29, 2025 to Mar 30, 2026
- Accounts · 25 to 26Apr 30, 2024 to Apr 29, 2025
- Pooled vehicle clients · 4 to 7Apr 30, 2024 to Apr 29, 2025
- Assets in custody · $82.2M to $240MApr 30, 2024 to Apr 29, 2025
- Employees · 51 to 43Apr 30, 2024 to Apr 29, 2025
- Financial planning clients · unset to Apr 30, 2024 to Apr 29, 2025
- Discretionary RAUM · $7.4B to $7.3BApr 30, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $15.0M to $15.4MApr 30, 2024 to Apr 29, 2025
- Pension RAUM · $26.1M to $28.2MApr 30, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $134M to $240MApr 30, 2024 to Apr 29, 2025
- RAUM · $7.4B to $7.3BApr 30, 2024 to Apr 29, 2025
- Private funds · 3 to 6Mar 29, 2024 to Apr 30, 2024
- Accounts · 26 to 25Sep 26, 2023 to Mar 29, 2024
- Advisory employees · 29 to 25Sep 26, 2023 to Mar 29, 2024
- Assets in custody · $2.5B to $82.2MSep 26, 2023 to Mar 29, 2024
- Employees · 54 to 51Sep 26, 2023 to Mar 29, 2024
- Other offices · 1 to 0Sep 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $6.4B to $7.4BSep 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $19.5M to $15.0MSep 26, 2023 to Mar 29, 2024
- Pension RAUM · $23.3M to $26.1MSep 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $166M to $134MSep 26, 2023 to Mar 29, 2024
- RAUM · $6.4B to $7.4BSep 26, 2023 to Mar 29, 2024
- Accounts · 36 to 26Nov 4, 2022 to Mar 30, 2023
- Advisory employees · 26 to 29Nov 4, 2022 to Mar 30, 2023
- Pooled vehicle clients · 13 to 4Nov 4, 2022 to Mar 30, 2023
- Assets in custody · $238M to $2.5BNov 4, 2022 to Mar 30, 2023
- Employees · 50 to 54Nov 4, 2022 to Mar 30, 2023
- Private funds · 12 to 3Nov 4, 2022 to Mar 30, 2023
Signals
26 dated events
- A•••• M••••••••• O•• U•• I••• reported RAUM $2.9B, down 60% from $7.3B (2025-04-29 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Nmn Masaaki Izutani (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 30, 2024 · Control person joined · fact
- Nmn T••••••• A•••• (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2024-03-29, absent 2024-04-30)Apr 30, 2024 · Control person left · inference
- Takashi Maruyama (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2024-03-29, absent 2024-04-30)Apr 30, 2024 · Control person left · inference
- Nmn Kenichi Ono (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 30, 2024 · Control person joined · fact
- Nmn Y••• K••••• (Executive Vice President & Chief Administrative Officer) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 21, 2023 · Control person joined · fact
- Nmn Nobutaka Aoki (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2023-03-30, absent 2023-04-21)Apr 21, 2023 · Control person left · inference
- Nmn Tetsuji Toda (Ceo, President, Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2022-04-14, absent 2022-07-19)Jul 19, 2022 · Control person left · inference
- Takashi Maruyama (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 14, 2022 · Control person joined · fact
- Nmn S•••••• O••••• (Director, Co-Ceo & President) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 14, 2022 · Control person joined · fact
- A•••• M••••••••• O•• U•• I••• reported RAUM $7.1B, down 26% from $9.5B (2021-12-25 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Nmn Shinichi Aizawa (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2021-03-31, absent 2021-04-29)Apr 29, 2021 · Control person left · inference
- Nmn T••••••• A•••• (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 29, 2021 · Control person joined · fact
- Nmn Motonobu Hoshino (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2021-03-31, absent 2021-04-29)Apr 29, 2021 · Control person left · inference
- Nmn A•••• Y••••••••• (Co-Ceo, Co-President, Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2021-03-31, absent 2021-04-29)Apr 29, 2021 · Control person left · inference
- Yanovna Ksenia Portnoy (Interim General Counsel) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2020-07-02, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- A•••• M••••••••• O•• U•• I••• reported RAUM $9.4B, up 93% from $4.8B (2020-01-11 to 2020-03-29)Mar 29, 2020 · RAUM change · derived
- Nmn Tetsuji Toda (Co-Ceo, Co-President, Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Jan 11, 2020 · Control person joined · fact
- Yanovna Ksenia Portnoy (Interim General Counsel) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Jan 11, 2020 · Control person joined · fact
- Nmn Motonobu Hoshino (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 24, 2019 · Control person joined · fact
- A•••• Y••••••••• (President & Ceo, Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 24, 2019 · Control person joined · fact
- Michiharu Maeda (President & Ceo, Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2019-03-29, absent 2019-04-24)Apr 24, 2019 · Control person left · inference
- A••••shi Masuda (Director) no longer on Schedule A of A•••• M••••••••• O•• U•• I••• (listed 2019-03-29, absent 2019-04-24)Apr 24, 2019 · Control person left · inference
- Nmn Nobutaka Aoki (Director) appeared on Schedule A of A•••• M••••••••• O•• U•• I•••Apr 24, 2019 · Control person joined · fact
- A•••• M••••••••• O•• U•• I••• reported RAUM $4.5B, down 37% from $7.1B (2018-03-29 to 2018-04-30)Apr 30, 2018 · RAUM change · derived
- A•••• M••••••••• O•• U•• I••• reported RAUM $7.1B, up 33% from $5.4B (2017-03-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/104555494reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-350-7650reportedpublic record, Form ADV, May 29, 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
- Institutional managerderiveda 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