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

D•••• S• I••••••••• L••

Former SEC-registered adviserChiyoda-Ku, Tokyo, CRD 110077SEC 801-14682IAPD
Latest filing May 23, 2019
First filing on the tape Mar 21, 2012 · 42 filings
RAUM
$48B
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
371
99 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$48B as of May 23, 2019
Jun 13, 2012$60B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 23, 2019
Jun 18, 20130 then
Employees (5.A)371 as of May 23, 2019
Jun 18, 2013345 then
Private funds: no history
RAUM -16% over the last fiscal year-0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 23, 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
$86.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
41%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
-16%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
  • Pooled investment vehicles$27B57%
  • Pension and profit-sharing plans$16B32%
  • State and municipal entities$4.2B8.7%
  • Banks and thrifts$702M1.5%
  • Corporations and businesses$229M0.5%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
156reported
Charitable clients
0reported
Accounts
554reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      • A•••• A•••••• · Managing Executive Officer,Compliance Officercontrol
        since 04/2018 · owns less than 5%
      • A•••• J•• · Outside Directorcontrol
        since 04/2016 · owns less than 5%
      • B•••• T•••••• · Directorcontrol
        since 12/2017 · owns less than 5%
      • F•••••••• H••••••• · Executive Officercontrol
        since 04/2015 · owns less than 5%
      • G•••• M•••••• · President &Ceocontrol
        since 04/2016 · owns less than 5%
      • H•••••••• A•••• · Managing Executive Offifercontrol
        since 04/2018 · owns less than 5%
      • H•••••••• Y•••••••• · Deputy Presidentcontrol
        since 04/2016 · owns less than 5%
      • I••••••• K•••• · Senior Managing Executive Officercontrol
        since 04/2018 · owns less than 5%
      • I••••• T••••••• · Executive Officercontrol
        since 04/2016 · owns less than 5%
      • I•••• K•••••• · Executive Officercontrol
        since 04/2018 · owns less than 5%
      • K•••••• M••••• · Managing Directorcontrol
        since 04/2017 · owns less than 5%
      • K••••••••• T•••••• · Senior Managing Directorcontrol
        since 04/2017 · owns less than 5%
      • K•••••••• K•••• · Senior Managing Executive Officercontrol
        since 04/2016 · owns less than 5%
      • O••••• T•••••• · Executive Officercontrol
        since 04/2016 · owns less than 5%
      • O•••••• H•••••• · Outside Directorcontrol
        since 04/2016 · owns less than 5%
      • O••••• H•••••• · Executive Officercontrol
        since 04/2017 · owns less than 5%
      • S••••• H•••••• · Senior Managing Directorcontrol
        since 04/2017 · owns less than 5%
      • S••••• S••••• · Executive Officercontrol
        since 04/2017 · owns less than 5%
      • S••••••• M••••• · Managing Executive Officercontrol
        since 04/2018 · owns less than 5%
      • U••••• Y••••• · Senior Managing Directorcontrol
        since 04/2018 · owns less than 5%
      Entity owners
      • D•••• S••••••••• G•••• I•• · Parent Company
        direct · owns 25% to 50%
      • S••••••• M••••• F•••••••• G••••• I••• · Parent Company
        direct · owns 25% to 50%
      • S••••••• M••••• T•••• B•••• L•••••• · Shareholder
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list D•••• S• I••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 565 to 554
        Feb 18, 2019 to May 23, 2019
      • Corporate clients · 11 to 7
        Feb 18, 2019 to May 23, 2019
      • Pension plan clients · 136 to 156
        Feb 18, 2019 to May 23, 2019
      • Pooled vehicle clients · 400 to 372
        Feb 18, 2019 to May 23, 2019
      • Employees · 376 to 371
        Feb 18, 2019 to May 23, 2019
      • Discretionary RAUM · $57B to $48B
        Feb 18, 2019 to May 23, 2019
      • Non-discretionary RAUM · $47.0M to $42.0M
        Feb 18, 2019 to May 23, 2019
      • Pension RAUM · $18B to $16B
        Feb 18, 2019 to May 23, 2019
      • Pooled vehicle RAUM · $32B to $27B
        Feb 18, 2019 to May 23, 2019
      • RAUM · $57B to $48B
        Feb 18, 2019 to May 23, 2019
      • Accounts · 557 to 565
        Apr 2, 2018 to May 1, 2018
      • Advisory employees · 97 to 99
        Apr 2, 2018 to May 1, 2018
      • Corporate clients · 7 to 11
        Apr 2, 2018 to May 1, 2018
      • Pension plan clients · 134 to 136
        Apr 2, 2018 to May 1, 2018
      • Pooled vehicle clients · 395 to 400
        Apr 2, 2018 to May 1, 2018
      • Employees · 337 to 376
        Apr 2, 2018 to May 1, 2018
      • Discretionary RAUM · $50B to $57B
        Apr 2, 2018 to May 1, 2018
      • Non-discretionary RAUM · $50.0M to $47.0M
        Apr 2, 2018 to May 1, 2018
      • Pension RAUM · $15,344 to $18B
        Apr 2, 2018 to May 1, 2018
      • Pooled vehicle RAUM · $28,876 to $32B
        Apr 2, 2018 to May 1, 2018
      • RAUM · $50B to $57B
        Apr 2, 2018 to May 1, 2018
      • Charity clients · unset to 0.0
        Sep 18, 2017 to Oct 3, 2017
      • Corporate clients · unset to 7.0
        Sep 18, 2017 to Oct 3, 2017
      • Pension plan clients · unset to 134.0
        Sep 18, 2017 to Oct 3, 2017
      • Pooled vehicle clients · unset to 395.0
        Sep 18, 2017 to Oct 3, 2017
      • Other offices · unset to 0.0
        Sep 18, 2017 to Oct 3, 2017
      • Pension RAUM · unset to 15344.0
        Sep 18, 2017 to Oct 3, 2017
      • Pooled vehicle RAUM · unset to 28876.0
        Sep 18, 2017 to Oct 3, 2017
      • Accounts · 494 to 557
        Apr 4, 2017 to Apr 27, 2017
      • Advisory employees · 90 to 97
        Apr 4, 2017 to Apr 27, 2017
      • Employees · 367 to 337
        Apr 4, 2017 to Apr 27, 2017
      • Discretionary RAUM · $48B to $50B
        Apr 4, 2017 to Apr 27, 2017
      • Non-discretionary RAUM · $52.0M to $50.0M
        Apr 4, 2017 to Apr 27, 2017
      • RAUM · $48B to $50B
        Apr 4, 2017 to Apr 27, 2017
      • Accounts · 451 to 494
        Apr 4, 2016 to May 5, 2016
      • Advisory employees · 92 to 90
        Apr 4, 2016 to May 5, 2016
      • Employees · 353 to 367
        Apr 4, 2016 to May 5, 2016
      • Discretionary RAUM · $48B to $48B
        Apr 4, 2016 to May 5, 2016
      • Non-discretionary RAUM · $87.0M to $52.0M
        Apr 4, 2016 to May 5, 2016
      • RAUM · $48B to $48B
        Apr 4, 2016 to May 5, 2016
      Signals
      No event on the tape.
      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