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

F•• I••••••••• •••••• L••••••

No RAUM reportedTokyo, CRD 110938SEC 801-45731websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Apr 26, 2012 · 28 filings
SEC status approved since Mar 22, 1994
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
180
21 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Jun 22, 2012$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Jun 22, 20120 then
Employees (5.A)180 as of Mar 31, 2026
Jun 25, 2013240 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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 feesreportedItem 5.E
Advisory activities
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• M••••• · Directorcontrol
        since 03/2022 · owns less than 5%
      • K•••• T•••••• · Chief Compliance Officercontrol
        since 10/2010 · owns less than 5%
      • L•• L•••• · Directorcontrol
        since 03/2022 · owns less than 5%
      • L•• M••• H•• M•• · Directorcontrol
        since 03/2022 · owns less than 5%
      • M•••••• N••••••• · Directorcontrol
        since 11/2022 · owns less than 5%
      • W•••• H••••• · Directorcontrol
        since 11/2022 · owns less than 5%
      • Y••••• D••••• L••• · Directorcontrol
        since 01/2019 · owns less than 5%
      Entity owners
      • F•• J•••• H••••••• K• · Shareholder
        direct · owns 75% or more
      • F•• A••• H••••••• P•• L•••••• · Shareholder
        indirect · owns 25% to 50% of F•• J•••• H••••••• ••••••••• P••• L••••••
      • F•• J•••• H••••••• ••••••••• P••• L•••••• · Shareholder
        indirect · owns 50% to 75% of F•• J•••• H••••••• K•
      • F•• L•••••• · Shareholder
        indirect · owns 25% to 50% of F•• A••• H••••••• P•• L••••••
      • P••••••• A••••••••• I••• · General Partner
        indirect · owns F of P••••••• P•••••••• L•••
      • P••••••• P•••••••• L••• · Shareholder (Class B Common)
        indirect · owns 25% to 50% of F•• L••••••
      Related persons
      Schedule D 7.A
      • F••••••• G••••••
        investment advisern
      • F••••••• I••••••••• C••••• U••
        investment advisern
      • F•• ••••••••• S•••
        investment advisern
      • F•• A•••• M••••••••• •••••• L••••••
        investment advisern
      • F•• F••• M••••••••• L••••••
        investment advisern
      • F•• I••••••••• A•••••••
        investment advisernRAUM $8.6B
      • F•• I••••••••• A••••••• ••• L•••
        investment advisernRAUM $3.5B
      • F•• I••••••••• M••••••••• ••••••••• L••••••
        investment advisern
      • F•• I••••••••• M••••••••• •••• K•••• L••••••
        investment advisern
      • F•• I••••••••• M••••••••• ••••••••• L••••••
        investment advisern
      • F•• I••••••••• S••••••• ••• L••••••
        investment advisern
      • F•• I••••••••• I•••••••••
        investment advisern
      • F•• L••••••
        investment advisery
      • F•• P••••••• M•••••••••
        investment advisern
      • F•• S••••••••• •••••• K•
        investment advisery
      Advisers that list F•• I••••••••• •••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Osaka City, Japan3 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 17 to 21
        Jan 20, 2026 to Mar 31, 2026
      • Employees · 203 to 180
        Jan 20, 2026 to Mar 31, 2026
      • Advisory employees · 39 to 17
        Jan 24, 2025 to Mar 31, 2025
      • Pooled vehicle clients · 0.0 to unset
        Jan 24, 2025 to Mar 31, 2025
      • Employees · 246 to 203
        Jan 24, 2025 to Mar 31, 2025
      • Financial planning clients · 0 to
        Jan 24, 2025 to Mar 31, 2025
      • Other offices · 1 to 0
        Jan 24, 2025 to Mar 31, 2025
      • Pooled vehicle RAUM · 0.0 to unset
        Jan 24, 2025 to Mar 31, 2025
      • HQ state · unset to
        Apr 4, 2024 to Jan 24, 2025
      • Advisory employees · 52 to 39
        Nov 14, 2023 to Apr 4, 2024
      • Advisory activities · 2 to 1
        Nov 14, 2023 to Apr 4, 2024
      • Related bank · true to false
        Nov 14, 2023 to Apr 4, 2024
      • Related broker-dealer · true to false
        Nov 14, 2023 to Apr 4, 2024
      • Employees · 247 to 246
        Apr 21, 2022 to Mar 31, 2023
      • Advisory activities · 1 to 2
        Apr 21, 2022 to Mar 31, 2023
      • Other offices · 2 to 1
        Apr 21, 2022 to Mar 31, 2023
      • Advisory employees · 43 to 52
        Jan 20, 2022 to Mar 29, 2022
      • Employees · 166 to 247
        Jan 20, 2022 to Mar 29, 2022
      • Advisory employees · 45 to 43
        Jun 28, 2019 to Jun 30, 2020
      • Employees · 240 to 166
        Jun 28, 2019 to Jun 30, 2020
      • Financial planning clients · unset to 0
        Jun 28, 2019 to Jun 30, 2020
      • Advisory employees · 50 to 45
        Jun 29, 2018 to Jun 28, 2019
      • Employees · 260 to 240
        Jun 29, 2018 to Jun 28, 2019
      • Accounts · 1 to 0
        Jul 13, 2017 to Jun 29, 2018
      • Advisory employees · 58 to 50
        Jul 13, 2017 to Jun 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jul 13, 2017 to Jun 29, 2018
      • Employees · 292 to 260
        Jul 13, 2017 to Jun 29, 2018
      • Other offices · unset to 2.0
        Jul 13, 2017 to Jun 29, 2018
      • Discretionary RAUM · $18,920 to $0
        Jul 13, 2017 to Jun 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jul 13, 2017 to Jun 29, 2018
      • RAUM · $18,920 to $0
        Jul 13, 2017 to Jun 29, 2018
      • Accounts · 0 to 1
        Jun 29, 2017 to Jul 13, 2017
      • Discretionary RAUM · $0 to $18,920
        Jun 29, 2017 to Jul 13, 2017
      • RAUM · $0 to $18,920
        Jun 29, 2017 to Jul 13, 2017
      • Accounts · 1 to 0
        Oct 4, 2016 to Jun 29, 2017
      • Advisory employees · 68 to 58
        Oct 4, 2016 to Jun 29, 2017
      • Employees · 210 to 292
        Oct 4, 2016 to Jun 29, 2017
      • Discretionary RAUM · $18.7M to $0
        Oct 4, 2016 to Jun 29, 2017
      • RAUM · $18.7M to $0
        Oct 4, 2016 to Jun 29, 2017
      • Advisory employees · 80 to 68
        Jun 26, 2015 to Jun 29, 2016
      Signals
      21 dated events
      • Matthew Hygate (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2022-04-21, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Hiromi Wada (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Mar 31, 2023 · Control person joined · fact
      • Nobuyuki Maeoka (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Mar 31, 2023 · Control person joined · fact
      • Neil Montford (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2022-03-29, absent 2022-04-21)
        Apr 21, 2022 · Control person left · inference
      • R•••• M••••• (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2022-03-29, absent 2022-04-21)
        Apr 21, 2022 · Control person left · inference
      • Jonathan Everhill (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2022-03-29, absent 2022-04-21)
        Apr 21, 2022 · Control person left · inference
      • Matthew Hygate (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Apr 21, 2022 · Control person joined · fact
      • Miyuki Kashima (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Apr 21, 2022 · Control person joined · fact
      • Lydia Li (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Apr 21, 2022 · Control person joined · fact
      • Hui Mei May Li (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Apr 21, 2022 · Control person joined · fact
      • Takashi Maruyama (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2021-07-13, absent 2022-01-20)
        Jan 20, 2022 · Control person left · inference
      • R•••• M••••• (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Jun 30, 2021 · Control person joined · fact
      • Jonathan Everhill (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Jun 30, 2021 · Control person joined · fact
      • Pui Man L•••• C••••• (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2020-06-30, absent 2021-06-30)
        Jun 30, 2021 · Control person left · inference
      • Pui Man L•••• C••••• (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Jun 30, 2020 · Control person joined · fact
      • Paul Christopher Quinlan (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2019-06-28, absent 2020-06-30)
        Jun 30, 2020 · Control person left · inference
      • Rajesh Misra (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2019-06-28, absent 2020-06-30)
        Jun 30, 2020 · Control person left · inference
      • Bradley Fresia (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2018-06-29, absent 2019-06-28)
        Jun 28, 2019 · Control person left · inference
      • Lloyd Charles Mckenzie (Director) no longer on Schedule A of F•• I••••••••• •••••• L•••••• (listed 2018-06-29, absent 2019-06-28)
        Jun 28, 2019 · Control person left · inference
      • Lane Derek Young (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Jun 28, 2019 · Control person joined · fact
      • Rajesh Misra (Director) appeared on Schedule A of F•• I••••••••• •••••• L••••••
        Jun 28, 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.
      How to reach
      public business contact points only, each with its source
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      00813-4560-6000reportedpublic record, Form ADV, Mar 31, 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
      No RAUM reportedderiveda 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