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.

Former SEC-registered adviser

Nomura Funds Research And Technologies America Inc.

Former SEC-registered adviserNew York, New YorkCRD 113324SEC 801-60376IAPD
Latest filing Sep 14, 2012
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$702M
reported, Item 5.F
Discretionary
57%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$57.8M gross assets
History
3 filings and snapshots on the tape
RAUM$702M as of Sep 14, 2012
Mar 30, 2012$738M then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds1 as of Sep 14, 2012
Mar 30, 20121 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 14, 2012; 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
$63.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
57%derivedof RAUM
Institutional
0.0%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
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 fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$57.8M, 1 clientsreportedItem 9.A
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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
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
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$57.8M for 1 clientsreported
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
      • Satoshi Arai · Directorcontrol
        since 04/2012 · owns less than 5%
      • L Freddie Carrini · Vice President, Head Of Business Operationscontrol
        since 10/2010 · owns less than 5%
      • Anthony Neil Daniele · Chief Compliance Officercontrol
        since 04/2009 · owns less than 5%
      • Mair David Findlay · Board Member And Chief Legal Officercontrol
        since 08/2001 · owns less than 5%
      • Koichi Goto · Directorcontrol
        since 04/2012 · owns less than 5%
      • Masashi Kuwashima · President, Chief Executive Officer And Board Membercontrol
        since 05/2009 · owns less than 5%
      • Masahito Shimizu · Board Membercontrol
        since 01/2011 · owns less than 5%
      Entity owners
      • Nomura Holding America, Inc. · Shareholder
        direct · owns 75% or more
      • Nomura Holdings, Inc. · Shareholder
        indirect · owns 75% or more of Nomura Holding America, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 11
        Mar 30, 2012 to Jun 29, 2012
      • Advisory activities · 4 to 2
        Mar 30, 2012 to Jun 29, 2012
      • Assets in custody · $57.3M to $57.8M
        Mar 30, 2012 to Jun 29, 2012
      • Discretionary RAUM · $448M to $401M
        Mar 30, 2012 to Jun 29, 2012
      • Non-discretionary RAUM · $290M to $301M
        Mar 30, 2012 to Jun 29, 2012
      • RAUM · $738M to $702M
        Mar 30, 2012 to Jun 29, 2012
      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