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 Corporate Research And Asset Management Inc
Latest filing Jun 24, 2026
First filing on the tape Mar 30, 2012 · 50 filings
SEC status approved since Jun 7, 1991
RAUM
$38B
reported, Item 5.F
Discretionary
99%
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
50
25 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$38B as of Jun 24, 2026
Jun 29, 2012$19B 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)50 as of Jun 24, 2026
Jun 28, 201342 then
Private funds1 as of Jun 27, 2016
Jun 29, 20122 then
RAUM -0.4% over the last fiscal year+4.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
- $569MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 67%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
- -3.4%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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- 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
- State and municipal entities$18B49%
- Pooled investment vehicles$10B27%
- Sovereign wealth funds$3.0B8.0%
- Pension and profit-sharing plans$3.0B7.9%
- Investment companies$2.1B5.7%
- Insurance companies$652M1.7%
- Corporations and businesses$265M0.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 66reported
- 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=0.33 institutional_share=0.67 related_bd=true related_bank=true bd_reps=1.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Battery Park High Yield Opportunity Master Fund Ltd.no longer reported | Hedge Fund | $96.2M | 11 | Mar 30, 2012 |
| Battery Park High Yield Opportunity Strategic Fund, Ltd.no longer reported | Hedge Fund | $1.6M | 1 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Steven Aloupis · Board Of Directorcontrolsince 10/2022 · owns less than 5%
- Yu Amy Chang · Managing Director And Portfolio Managercontrolsince 05/2019 · owns less than 5%
- James Eugene Chiulli · Treasurer, Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- Owen David Crall · President, Chief Executive Officer, Chief Investment Officer, Managing Director, Board Of Directorcontrolsince 06/2019 · owns less than 5%
- Anthony Neil Daniele · Chief Compliance Officercontrolsince 04/2009 · owns less than 5%
- Jane Melanie Hawthorne · Head Of Legalcontrolsince 06/2021 · owns less than 5%
- Spencer Stephen Kotsen · Managing Director And Portfolio Managercontrolsince 06/2005 · owns less than 5%
- Yoshihiro Namura · Board Of Director, Chairpersoncontrolsince 10/2022 · owns less than 5%
- Yuichi Nomoto · Board Of Directorcontrolsince 04/2019 · owns less than 5%
- Eugene Shuster · Managing Director - Head Of Riskcontrolsince 04/2021 · owns less than 5%
- Nmn Robert Stark · Board Of Directorcontrolsince 04/2024 · owns less than 5%
- Volker Meno Stroemer · Managing Director, Portfolio Managercontrolsince 01/2023 · owns less than 5%
Entity owners
- Nomura Holding America, Inc. · Shareholderdirect · owns 75% or more
- Nomura Holdings, Inc. · Shareholderdirect · owns less than 5% · public reporting company
- Nomura Holdings, Inc. · Indirect Ownerindirect · owns 75% or more of Nomura Holding America Inc. · public reporting company
Related persons
Schedule D 7.A
- Global Funds Management, S.A.investment adviserpooled vehicle sponsorn
- Global Funds Trust Companypooled vehicle sponsorn
- Instinet, LLCbroker-dealerinvestment advisern
- Nomura Asset Management Co., Ltd.investment adviserpooled vehicle sponsornRAUM $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 adviserpooled vehicle sponsornRAUM $32B
- Nomura Asset Management U.S.A. Inc.investment adviserbanknRAUM $1.0B
- Nomura Bank (Luxembourg) S.A.broker-dealercustodiann
- Nomura Capital Management LLCinvestment advisernRAUM $651M
- Nomura Securities International, Inc.broker-dealerinvestment advisertrust companyn
- The Nomura Trust & Banking Co., Ltd.broker-dealerpooled vehicle sponsorcustodiann
Advisers that list Nomura Corporate Research And Asset Management Inc as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 72 to 66Jan 20, 2026 to Jun 24, 2026
- BD registered reps · 2 to 1Jan 20, 2026 to Jun 24, 2026
- Charity clients · 1 to 0Jan 20, 2026 to Jun 24, 2026
- Corporate clients · 0 to 1Jan 20, 2026 to Jun 24, 2026
- Pension plan clients · 10 to 8Jan 20, 2026 to Jun 24, 2026
- Pooled vehicle clients · 26 to 22Jan 20, 2026 to Jun 24, 2026
- Employees · 48 to 50Jan 20, 2026 to Jun 24, 2026
- Discretionary RAUM · $36B to $37BJan 20, 2026 to Jun 24, 2026
- Non-discretionary RAUM · $367M to $482MJan 20, 2026 to Jun 24, 2026
- Pension RAUM · $2.9B to $3.0BJan 20, 2026 to Jun 24, 2026
- Pooled vehicle RAUM · $11B to $10BJan 20, 2026 to Jun 24, 2026
- RAUM · $36B to $38BJan 20, 2026 to Jun 24, 2026
- Accounts · 77 to 72Apr 7, 2025 to Jun 16, 2025
- BD registered reps · 3 to 2Apr 7, 2025 to Jun 16, 2025
- Pension plan clients · 11 to 10Apr 7, 2025 to Jun 16, 2025
- Pooled vehicle clients · 32 to 26Apr 7, 2025 to Jun 16, 2025
- Employees · 46 to 48Apr 7, 2025 to Jun 16, 2025
- Financial planning clients · unset to Apr 7, 2025 to Jun 16, 2025
- Discretionary RAUM · $37B to $36BApr 7, 2025 to Jun 16, 2025
- Non-discretionary RAUM · $295M to $367MApr 7, 2025 to Jun 16, 2025
- Pension RAUM · $5.0B to $2.9BApr 7, 2025 to Jun 16, 2025
- Pooled vehicle RAUM · $11B to $11BApr 7, 2025 to Jun 16, 2025
- RAUM · $38B to $36BApr 7, 2025 to Jun 16, 2025
- Accounts · 73 to 77Apr 16, 2024 to Jun 24, 2024
- Advisory employees · 26 to 25Apr 16, 2024 to Jun 24, 2024
- BD registered reps · 2 to 3Apr 16, 2024 to Jun 24, 2024
- Charity clients · 0 to 1Apr 16, 2024 to Jun 24, 2024
- Pension plan clients · 10 to 11Apr 16, 2024 to Jun 24, 2024
- Pooled vehicle clients · 31 to 32Apr 16, 2024 to Jun 24, 2024
- Employees · 47 to 46Apr 16, 2024 to Jun 24, 2024
- Discretionary RAUM · $30B to $37BApr 16, 2024 to Jun 24, 2024
- Non-discretionary RAUM · $298M to $295MApr 16, 2024 to Jun 24, 2024
- Pension RAUM · $2.8B to $5.0BApr 16, 2024 to Jun 24, 2024
- Pooled vehicle RAUM · $12B to $11BApr 16, 2024 to Jun 24, 2024
- RAUM · $30B to $38BApr 16, 2024 to Jun 24, 2024
- Accounts · 75 to 73Oct 26, 2022 to Jun 16, 2023
- Advisory employees · 21 to 26Oct 26, 2022 to Jun 16, 2023
- Pension plan clients · 13 to 10Oct 26, 2022 to Jun 16, 2023
- Pooled vehicle clients · 30 to 31Oct 26, 2022 to Jun 16, 2023
- Discretionary RAUM · $33B to $30BOct 26, 2022 to Jun 16, 2023
Signals
22 dated events
- Hil Jennie Wong (Managing Director, Chief Administrator Officer) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2024-06-24, absent 2024-10-08)Oct 8, 2024 · Control person left · inference
- Nmn Robert Stark (Board Of Director) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 5, 2024 · Control person joined · fact
- James Eugene Chiulli (Chief Financial Officer) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 5, 2024 · Control person joined · fact
- Steve Rosenthal (Managing Director And Portfolio Manager) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2022-10-26, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Volker Meno Stroemer (Managing Director, Portfolio Manager) appeared on Schedule A of Nomura Corporate Research And Asset Management IncJun 16, 2023 · Control person joined · fact
- Paul Christopher Willcox (Director, Chairperson) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2022-06-24, absent 2022-10-26)Oct 26, 2022 · Control person left · inference
- Nicholas Steven Aloupis (Board Of Director) appeared on Schedule A of Nomura Corporate Research And Asset Management IncOct 26, 2022 · Control person joined · fact
- Yoshihiro Namura (Board Of Director, Chairperson) appeared on Schedule A of Nomura Corporate Research And Asset Management IncOct 26, 2022 · Control person joined · fact
- Yo Akatsuka (Chairman Of The Board Of Directors) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2022-01-05, absent 2022-06-24)Jun 24, 2022 · Control person left · inference
- Paul Christopher Willcox (Director, Chairperson) appeared on Schedule A of Nomura Corporate Research And Asset Management IncJun 24, 2022 · Control person joined · fact
- Melanie Hawthorne (Head Of Legal) appeared on Schedule A of Nomura Corporate Research And Asset Management IncJun 24, 2022 · Control person joined · fact
- Nomura Corporate Research And Asset Management Inc reported RAUM $32.3B, up 27% from $25.5B (2020-06-29 to 2021-06-25)Jun 25, 2021 · RAUM change · derived
- Eugene Shuster (Managing Director - Head Of Risk) appeared on Schedule A of Nomura Corporate Research And Asset Management IncJun 25, 2021 · Control person joined · fact
- Lynn Stephanie Busse (General Counsel) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2020-06-29, absent 2021-06-25)Jun 25, 2021 · Control person left · inference
- Yo Akatsuka (Chairman Of The Board Of Directors) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 8, 2020 · Control person joined · fact
- Tsutomu Takemura (Chairmen Of The Board Of Directors) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2020-04-03, absent 2020-04-08)Apr 8, 2020 · Control person left · inference
- Steven Zoric (General Counsel And Chief Operating Officer) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2019-06-26, absent 2020-04-03)Apr 3, 2020 · Control person left · inference
- Lynn Stephanie Busse (General Counsel) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 3, 2020 · Control person joined · fact
- Mair David Findlay (President, Chief Executive Officer, And Chairman Of The Board) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2019-04-12, absent 2019-06-26)Jun 26, 2019 · Control person left · inference
- Yuichi Nomoto (Board Of Director) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 12, 2019 · Control person joined · fact
- Tsutomu Takemura (Board Of Director) appeared on Schedule A of Nomura Corporate Research And Asset Management IncApr 12, 2019 · Control person joined · fact
- Yutaka Itabashi (Board Of Director Member) no longer on Schedule A of Nomura Corporate Research And Asset Management Inc (listed 2019-03-13, absent 2019-04-09)Apr 9, 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
- nomuracapitalmanagement.com/ncramreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (212) 667-9000reportedpublic 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
- Other 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