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

D••••••• A•••• M••••••••• •••••• L••••••

Former SEC-registered adviserChiyoda-Ku, Tokyo, CRD 118540SEC 801-60912IAPD
Latest filing Dec 26, 2014
First filing on the tape Nov 22, 2011 · 12 filings
RAUM
$7.6B
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
70
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$7.6B as of Jun 30, 2014
Jun 26, 2012$7.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Jun 26, 20120 then
Employees (5.A)70 as of Jun 30, 2014
May 2, 201370 then
Private funds: no history
RAUM +2.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 26, 2014; 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
$70.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+2.7%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, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
108reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • A••• T•••••• · Presidentcontrol
        since 11/2014 · owns less than 5%
      • I•••••••• H•••••• · Chief Operating Officercontrol
        since 06/2006 · owns less than 5%
      • K••••••••• M••••••• · Director/Board Member
        since 07/2008 · owns less than 5%
      • N•••••• S••••••• · Chief Compliance Officer
        since 10/2006 · owns less than 5%
      • T•••• A••••• · Chief Investment Officer
        since 08/2010 · owns less than 5%
      Entity owners
      • D••••••• A••• P•••••• H••••••• P••• L••• · 100% Owner Of D••••••• A•••• M••••••••• •••••• L••••••
        direct · owns 75% or more
      • D• V•••••• S••• ••••••••• · B•••
        indirect · owns 75% or more of 100% D••••••• A••• P•••••• H••••••• P••• L•••
      • D••••••• B••• A• · B•••
        indirect · owns 75% or more of 100% Owner Of D• V•••••• S••• •••••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Osaka-Hu, Japan
      What changed
      consecutive filings, newest first
      • Accounts · 106 to 108
        Aug 23, 2013 to Jun 30, 2014
      • Advisory activities · 1 to 2
        Aug 23, 2013 to Jun 30, 2014
      • Discretionary RAUM · $7.4B to $7.6B
        Aug 23, 2013 to Jun 30, 2014
      • RAUM · $7.4B to $7.6B
        Aug 23, 2013 to Jun 30, 2014
      • Accounts · 117 to 106
        Jun 26, 2012 to May 2, 2013
      • Advisory employees · unset to 10.0
        Jun 26, 2012 to May 2, 2013
      • Employees · unset to 70.0
        Jun 26, 2012 to May 2, 2013
      • Discretionary RAUM · $7.2B to $7.4B
        Jun 26, 2012 to May 2, 2013
      • Non-discretionary RAUM · $255M to $0
        Jun 26, 2012 to May 2, 2013
      • RAUM · $7.4B to $7.4B
        Jun 26, 2012 to May 2, 2013
      • Accounts · 118 to 117
        Mar 28, 2012 to Jun 26, 2012
      • Discretionary RAUM · $6.8B to $7.2B
        Mar 28, 2012 to Jun 26, 2012
      • Non-discretionary RAUM · $0 to $255M
        Mar 28, 2012 to Jun 26, 2012
      • RAUM · $6.8B to $7.4B
        Mar 28, 2012 to Jun 26, 2012
      • Accounts · 124 to 118
        Nov 22, 2011 to Mar 15, 2012
      • Advisory activities · 2 to 1
        Nov 22, 2011 to Mar 15, 2012
      • Insurance-licensed employees · unset to 0.0
        Nov 22, 2011 to Mar 15, 2012
      • Discretionary RAUM · $7.7B to $6.8B
        Nov 22, 2011 to Mar 15, 2012
      • Non-discretionary RAUM · $444M to $0
        Nov 22, 2011 to Mar 15, 2012
      • RAUM · $8.2B to $6.8B
        Nov 22, 2011 to Mar 15, 2012
      • Related bank · false to true
        Nov 22, 2011 to Mar 15, 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