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••••••••• U••• L••••••

Former SEC-registered adviserLondon, CRD 110815SEC 801-25922IAPD
Latest filing Feb 8, 2023
First filing on the tape Mar 30, 2012 · 30 filings
RAUM
$32B
reported, Item 5.F
Discretionary
97%
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
65
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$32B as of Jun 24, 2022
Jun 27, 2012$28B then
HNW client RAUM$0 as of Jun 24, 2022
Jun 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2022
Jun 27, 20130 then
Employees (5.A)65 as of Jun 24, 2022
Jun 27, 2013106 then
Private funds: no history
RAUM -9.0% over the last fiscal year+1.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 8, 2023; 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
$213MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
17%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
-9.0%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 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$26B83%
  • Sovereign wealth funds$3.3B10%
  • State and municipal entities$1.2B3.8%
  • Pension and profit-sharing plans$801M2.5%
  • Corporations and businesses$63.1M0.2%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
149reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      • B••••••• C•••••••• E••• · Chairman And Non Executive Directivecontrol
        since 07/2020 · owns less than 5%
      • C•••• V••••• · Chief Financial Officercontrol
        since 03/2020 · owns less than 5%
      • H••••••••• G• · Chief Executive Officercontrol
        since 10/2018 · owns less than 5%
      • N•••• J••••• · Chief Compliance Officercontrol
        since 09/2017 · owns less than 5%
      • N•••••• Y••••• · Board Of Directorcontrol
        since 02/2022 · owns less than 5%
      • S••••• P••••• J••••• · Chief Administrative Officercontrol
        since 04/2017 · 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•••
      Related persons
      Schedule D 7.A
      Advisers that list N••••• A•••• M••••••••• U••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Dubai, United Arab Emirates2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 146 to 149
        Aug 5, 2021 to Jun 24, 2022
      • Pension plan clients · 4 to 3
        Aug 5, 2021 to Jun 24, 2022
      • Pooled vehicle clients · 132 to 138
        Aug 5, 2021 to Jun 24, 2022
      • Employees · 71 to 65
        Aug 5, 2021 to Jun 24, 2022
      • Discretionary RAUM · $33B to $31B
        Aug 5, 2021 to Jun 24, 2022
      • Non-discretionary RAUM · $1.5B to $1.1B
        Aug 5, 2021 to Jun 24, 2022
      • Pension RAUM · $1.2B to $801M
        Aug 5, 2021 to Jun 24, 2022
      • Pooled vehicle RAUM · $27B to $26B
        Aug 5, 2021 to Jun 24, 2022
      • RAUM · $35B to $32B
        Aug 5, 2021 to Jun 24, 2022
      • Accounts · 137 to 146
        Apr 7, 2021 to Jun 25, 2021
      • Pension plan clients · 5 to 4
        Apr 7, 2021 to Jun 25, 2021
      • Pooled vehicle clients · 122 to 132
        Apr 7, 2021 to Jun 25, 2021
      • Employees · 100 to 71
        Apr 7, 2021 to Jun 25, 2021
      • Discretionary RAUM · $25B to $33B
        Apr 7, 2021 to Jun 25, 2021
      • Non-discretionary RAUM · $1.7B to $1.5B
        Apr 7, 2021 to Jun 25, 2021
      • Pension RAUM · $908M to $1.2B
        Apr 7, 2021 to Jun 25, 2021
      • Pooled vehicle RAUM · $20B to $27B
        Apr 7, 2021 to Jun 25, 2021
      • RAUM · $27B to $35B
        Apr 7, 2021 to Jun 25, 2021
      • Accounts · 117 to 137
        Jun 28, 2019 to Jun 26, 2020
      • Advisory employees · 28 to 27
        Jun 28, 2019 to Jun 26, 2020
      • Pooled vehicle clients · 100 to 122
        Jun 28, 2019 to Jun 26, 2020
      • Employees · 93 to 100
        Jun 28, 2019 to Jun 26, 2020
      • Discretionary RAUM · $29B to $25B
        Jun 28, 2019 to Jun 26, 2020
      • Non-discretionary RAUM · $1.8B to $1.7B
        Jun 28, 2019 to Jun 26, 2020
      • Pension RAUM · $1.0B to $908M
        Jun 28, 2019 to Jun 26, 2020
      • Pooled vehicle RAUM · $22B to $20B
        Jun 28, 2019 to Jun 26, 2020
      • RAUM · $31B to $27B
        Jun 28, 2019 to Jun 26, 2020
      • Accounts · 107 to 117
        Apr 12, 2019 to Jun 28, 2019
      • Charity clients · unset to 0.0
        Apr 12, 2019 to Jun 28, 2019
      • Corporate clients · unset to 1.0
        Apr 12, 2019 to Jun 28, 2019
      • HNW clients · unset to 0.0
        Apr 12, 2019 to Jun 28, 2019
      • Individual clients · unset to 0.0
        Apr 12, 2019 to Jun 28, 2019
      • Pooled vehicle clients · 91 to 100
        Apr 12, 2019 to Jun 28, 2019
      • Employees · 94 to 93
        Apr 12, 2019 to Jun 28, 2019
      • Discretionary RAUM · $31B to $29B
        Apr 12, 2019 to Jun 28, 2019
      • HNW RAUM · unset to 0.0
        Apr 12, 2019 to Jun 28, 2019
      • Individual RAUM · unset to 0.0
        Apr 12, 2019 to Jun 28, 2019
      • Non-discretionary RAUM · $1.9B to $1.8B
        Apr 12, 2019 to Jun 28, 2019
      • Pension RAUM · $1.4B to $1.0B
        Apr 12, 2019 to Jun 28, 2019
      • Pooled vehicle RAUM · $23B to $22B
        Apr 12, 2019 to Jun 28, 2019
      Signals
      16 dated events
      • Yuichi Nomoto (Board Of Director) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Feb 8, 2023 · Control person joined · fact
      • Wataru Ogihara (Board Of Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2022-06-24, absent 2023-01-03)
        Jan 3, 2023 · Control person left · inference
      • Wataru Ogihara (Board Of Director) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Jun 24, 2022 · Control person joined · fact
      • Akihiro Watanabe (Non Executive Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2021-08-05, absent 2022-06-24)
        Jun 24, 2022 · Control person left · inference
      • N••••• A•••• M••••••••• U••• L•••••• reported RAUM $34.9B, up 30% from $26.9B (2021-04-07 to 2021-06-25)
        Jun 25, 2021 · RAUM change · derived
      • James Charles Luke Nunneley (Chairman And Non-Executive Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2021-04-07, absent 2021-06-25)
        Jun 25, 2021 · Control person left · inference
      • Akihiro Watanabe (Non Executive Director) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Jun 25, 2021 · Control person joined · fact
      • Minoru Tanebe (Non Executive Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2020-06-26, absent 2021-04-07)
        Apr 7, 2021 · Control person left · inference
      • E.M. Constant Beckers (Non Executive Directive) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Jun 26, 2020 · Control person joined · fact
      • Vivian Chan (Chief Financial Officer) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Jun 26, 2020 · Control person joined · fact
      • Go Hiramatsu (Chief Executive Officer) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Jun 26, 2020 · Control person joined · fact
      • Yasuhiro Yokota (Non Executive Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2019-06-28, absent 2020-06-26)
        Jun 26, 2020 · Control person left · inference
      • Minoru Tanebe (Non Executive Director) appeared on Schedule A of N••••• A•••• M••••••••• U••• L••••••
        Apr 12, 2019 · Control person joined · fact
      • J Richard Bisson (Chief Executive Officer, Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2018-06-29, absent 2019-04-12)
        Apr 12, 2019 · Control person left · inference
      • Atsushi Saito (Non-Executive Director) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2018-06-29, absent 2019-04-12)
        Apr 12, 2019 · Control person left · inference
      • S•••• J••••• K•••• (Chief Financial Officer) no longer on Schedule A of N••••• A•••• M••••••••• U••• L•••••• (listed 2018-06-29, absent 2019-04-12)
        Apr 12, 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.
      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