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••••••••• C•••••••••
Latest filing Jun 19, 2024
First filing on the tape Mar 21, 2012 · 23 filings
SEC status approved since Jul 1, 2011
RAUM
$207B
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
729
235 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$207B as of Jun 19, 2024
Jun 26, 2012$40B then
HNW client RAUM$0 as of Jun 19, 2024
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 19, 2024
Jun 26, 20120 then
Employees (5.A)729 as of Jun 19, 2024
Jun 27, 2013404 then
Private funds: no history
RAUM +12% over the last fiscal year+2.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 19, 2024; 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
- $470MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 90%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
- +12%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 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
- Insurance companies$157B76%
- Pooled investment vehicles$18B8.5%
- Pension and profit-sharing plans$15B7.3%
- State and municipal entities$13B6.3%
- Corporations and businesses$3.0B1.5%
- Other investment advisers$766M0.4%
- Banks and thrifts$78.5M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 332reported
- Charitable clients
- 0reported
- Accounts
- 440reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••••• N•••••• •••• · Non-Executive Director /Member Of The Boardcontrolsince 03/2023 · owns less than 5%
- F•••••••• D••••••• •••• · Executive Director / Member Of The Boardcontrolsince 03/2024 · owns less than 5%
- K•••••••• T••••••• •••• · Non-Executive Director /Member Of The Boardcontrolsince 03/2024 · owns less than 5%
- K•••••••• T•••••• · Chief Compliance Officer / General Manager / Head Of Legal & Compliance Departmentcontrolsince 03/2021 · owns less than 5%
- N••••••••• T••••••••• •••• · Executive Vice President / Member Of The Boardcontrolsince 03/2021 · owns less than 5%
- O••••• H•••••• · President/Member Of The Boardcontrolsince 03/2020 · owns less than 5%
- F•••• M••••• · Non-Executive Director / Member Of The Boardsince 03/2017 · owns less than 5%
- H•••• M••••••• · Non-Executive Director / Member Of The Boardsince 06/2019 · owns less than 5%
- I•••••••• N••••••• •••• · Non-Executive Director /Member Of The Boardsince 06/2024 · owns less than 5%
- K••••••• K••••• · Auditor / Member Of The Board Of Auditorssince 03/2016 · owns less than 5%
- K•••••••• E••••• · Non-Executive Director / Member Of The Boardsince 03/2017 · owns less than 5%
- M••••••••• Y••••• · Auditor / Member Of The Board Of Auditorssince 06/2023 · owns less than 5%
- M••••••••• H•••••••• •••• · Auditor/Member Of The Board Of Auditorssince 06/2022 · owns less than 5%
- O••••• T•••••• •••• · Auditor / Member Of The Board Of Auditorssince 06/2023 · owns less than 5%
Entity owners
- N••••• L••• I•••••••• C•••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- H••••••• L••• I•••••••• C••• L•••real estaten
- M•• L••••••real estaten
- N••••• L••• G••••• I•••••••• A•••••••• I•••investment advisernRAUM $83B
- N••••• L••• G••••• I•••••••• E••••• P••investment advisern
- N••••• L••• G••••• I•••••••• S•••••••• L••••••investment advisery
- N••••• L••• I•••• A•••• M••••••••• L••••••investment advisern
- N••••• L••• I•••••••• C••••••real estatey
- N••••• L••• R••••• M••••••••• I••investment adviserinvestment companyn
- N••••• L••• S•••••••• A•••• M••••••••• E••••• L••••••investment advisern
- N••••• W••••• L••• I•••••••• C•••••• L••••••real estaten
- N••••• P••• S•• C•••••• I•••real estaten
- N•• R••••••• I••••••••investment advisern
- T•••• L••• I•••••••• C•••••• L••••••real estaten
- T•• M••••• T•••• B••• O• J••••• L•••n
Advisers that list N••••• A•••• M••••••••• C••••••••• as a related person
- 156244 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 431 to 440Jan 19, 2024 to Jun 19, 2024
- Advisory employees · 226 to 235Jan 19, 2024 to Jun 19, 2024
- Corporate clients · 35 to 36Jan 19, 2024 to Jun 19, 2024
- Pooled vehicle clients · 47 to 50Jan 19, 2024 to Jun 19, 2024
- Employees · 702 to 729Jan 19, 2024 to Jun 19, 2024
- Discretionary RAUM · $184B to $207BJan 19, 2024 to Jun 19, 2024
- Pension RAUM · $16B to $15BJan 19, 2024 to Jun 19, 2024
- Pooled vehicle RAUM · $18B to $18BJan 19, 2024 to Jun 19, 2024
- RAUM · $184B to $207BJan 19, 2024 to Jun 19, 2024
- Accounts · 437 to 431Jun 28, 2022 to Jun 21, 2023
- Advisory employees · 213 to 226Jun 28, 2022 to Jun 21, 2023
- Pension plan clients · 337 to 332Jun 28, 2022 to Jun 21, 2023
- Pooled vehicle clients · 48 to 47Jun 28, 2022 to Jun 21, 2023
- Employees · 669 to 702Jun 28, 2022 to Jun 21, 2023
- Discretionary RAUM · $199B to $184BJun 28, 2022 to Jun 21, 2023
- Pension RAUM · $19B to $16BJun 28, 2022 to Jun 21, 2023
- Pooled vehicle RAUM · $18B to $18BJun 28, 2022 to Jun 21, 2023
- RAUM · $199B to $184BJun 28, 2022 to Jun 21, 2023
- Accounts · 422 to 437Jun 29, 2021 to Jun 28, 2022
- Advisory employees · 198 to 213Jun 29, 2021 to Jun 28, 2022
- Advisory activities · 5 to 6Jun 29, 2021 to Jun 28, 2022
- Corporate clients · 34 to 35Jun 29, 2021 to Jun 28, 2022
- Pension plan clients · 328 to 337Jun 29, 2021 to Jun 28, 2022
- Pooled vehicle clients · 46 to 48Jun 29, 2021 to Jun 28, 2022
- Employees · 631 to 669Jun 29, 2021 to Jun 28, 2022
- Discretionary RAUM · $192B to $199BJun 29, 2021 to Jun 28, 2022
- Pension RAUM · $20B to $19BJun 29, 2021 to Jun 28, 2022
- Pooled vehicle RAUM · $15B to $18BJun 29, 2021 to Jun 28, 2022
- RAUM · $192B to $199BJun 29, 2021 to Jun 28, 2022
- Accounts · 413 to 422Mar 29, 2021 to Jun 29, 2021
- Advisory employees · 169 to 198Mar 29, 2021 to Jun 29, 2021
- Advisory activities · 4 to 5Mar 29, 2021 to Jun 29, 2021
- Pension plan clients · 322 to 328Mar 29, 2021 to Jun 29, 2021
- Pooled vehicle clients · 44 to 46Mar 29, 2021 to Jun 29, 2021
- Employees · 561 to 631Mar 29, 2021 to Jun 29, 2021
- Discretionary RAUM · $43B to $192BMar 29, 2021 to Jun 29, 2021
- Pension RAUM · $18B to $20BMar 29, 2021 to Jun 29, 2021
- Pooled vehicle RAUM · $11B to $15BMar 29, 2021 to Jun 29, 2021
- RAUM · $43B to $192BMar 29, 2021 to Jun 29, 2021
- Accounts · 396 to 413Jul 10, 2019 to Jun 25, 2020
Signals
29 dated events
- N••••• A•••• M••••••••• C••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $206.7B)May 2, 2025 · Left the SEC roster · derived
- (Nmn) Daisuke Fukayama (Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 19, 2024 · Control person joined · fact
- (Nmn) Tatsuya Kawamura (Non-Executive Director /Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 19, 2024 · Control person joined · fact
- Keisuke Kawasaki (Executive Director / Memeber Of The Board / Chief Investment Officer) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2024-01-19, absent 2024-06-19)Jun 19, 2024 · Control person left · inference
- (Nmn) Hideyuki Imanishi (Non-Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2024-01-19, absent 2024-06-19)Jun 19, 2024 · Control person left · inference
- Masayoshi Tsuda (Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2022-06-28, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- (Nmn) Hitoshi Hayakawa (Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2022-06-28, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- (Nmn) Hiroshi Kobayashi (Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2022-06-28, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- (Nmn) Daisuke Fukayama (Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2022-06-28, absent 2023-06-21)Jun 21, 2023 · Control person left · inference
- (Nmn) Nobuto Fujimoto (Non-Executive Director /Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 21, 2023 · Control person joined · fact
- Hidenobu Uehara (Managing Director /Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2021-06-29, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Akira Hosoda (Managing Director /Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2021-06-29, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- Hirose Kojiro (Senior Managing Director/ Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2021-06-29, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- (Nmn) Hitoshi Hayakawa (Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 28, 2022 · Control person joined · fact
- (Nmn) Hiroshi Kobayashi (Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 28, 2022 · Control person joined · fact
- (Nmn) Daisuke Fukayama (Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 28, 2022 · Control person joined · fact
- N••••• A•••• M••••••••• C••••••••• reported RAUM $191.8B, up 348% from $42.9B (2021-03-29 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- Mutsufumi Seki (Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2021-03-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Chiaki Osone (Non-Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2021-03-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- (Nmn) Toshihiro Nakashima (Executive Vice President / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 29, 2021 · Control person joined · fact
- (Nmn) Imanishi Hideyuki (Non-Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 29, 2021 · Control person joined · fact
- Tetsuro Kitazawa (Chief Compliance Officer / General Manager / Head Of Legal & Compliance Department) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Mar 29, 2021 · Control person joined · fact
- Hiroshi Ozeki (President/Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 25, 2020 · Control person joined · fact
- Makoto Kaneshige (Executive Director / Member Of The Board / Chief Administrative Officer) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2019-07-10, absent 2020-06-25)Jun 25, 2020 · Control person left · inference
- Nmn Hiroyuki Nishi (President/Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2019-07-10, absent 2020-06-25)Jun 25, 2020 · Control person left · inference
- Yasutoyo Takada (Managing Director/Member Of The Board/ Chief Marketing Officer) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2019-07-10, absent 2020-06-25)Jun 25, 2020 · Control person left · inference
- Tetsuaki Ohgami (Non-Executive Director / Member Of The Board) no longer on Schedule A of N••••• A•••• M••••••••• C••••••••• (listed 2018-06-29, absent 2019-06-27)Jun 27, 2019 · Control person left · inference
- Masataka Hama (Non-Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 27, 2019 · Control person joined · fact
- Chiaki Osone (Non-Executive Director / Member Of The Board) appeared on Schedule A of N••••• A•••• M••••••••• C•••••••••Jun 27, 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.
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