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

Morgan Stanley Investment Management (Japan) Co., Ltd.

Former SEC-registered adviserChiyoda-Ku, Tokyo, CRD 126071SEC 801-62152IAPD
Latest filing Jul 25, 2017
First filing on the tape Apr 11, 2012 · 15 filings
RAUM
$3.5B
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
65
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$3.5B as of Jun 26, 2017
Jun 19, 2012$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2017
Jun 19, 20120 then
Employees (5.A)65 as of Jun 26, 2017
Jun 25, 201360 then
Private funds: no history
RAUM -9.1% over the last fiscal year-14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 25, 2017; 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
$50.7MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.1%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
69reported
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Yasushi Hasegawa · Chief Administrative Officer, Director & Managing Directorcontrol
        since 09/2010 · owns less than 5%
      • Ken Iio · Director & Managing Directorcontrol
        since 09/2013 · owns less than 5%
      • Hisashi Kamezawa · Director & Managing Directorcontrol
        since 06/2011 · owns less than 5%
      • Hiroyuki Shimizu · President And Representative Director & Managing Directorcontrol
        since 03/2017 · owns less than 5%
      • Ryosaku Tochikura · Director & Managing Directorcontrol
        since 04/2017 · owns less than 5%
      • Noriko Nagasaki · Chief Legal Officer, Chief Compliance Officer & Executive Director
        since 09/2013 · owns less than 5%
      • Noriko Ogisu · Finance Officer & Vice President
        since 07/2014 · owns less than 5%
      Entity owners
      • Morgan Stanley Japan Holdings Co., Ltd. · Beneficial Owner
        direct · owns 75% or more
      • Morgan Stanley · Beneficial Owner
        indirect · owns 75% or more of Morgan Stanley International Incorporated · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Morgan Stanley Investment Management (Japan) Co., Ltd. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 74 to 69
        Oct 20, 2016 to Jun 26, 2017
      • Employees · 61 to 65
        Oct 20, 2016 to Jun 26, 2017
      • Discretionary RAUM · $3.8B to $3.5B
        Oct 20, 2016 to Jun 26, 2017
      • RAUM · $3.8B to $3.5B
        Oct 20, 2016 to Jun 26, 2017
      • Accounts · 76 to 74
        Jun 29, 2015 to Jun 29, 2016
      • Advisory employees · 7 to 8
        Jun 29, 2015 to Jun 29, 2016
      • Employees · 64 to 61
        Jun 29, 2015 to Jun 29, 2016
      • Discretionary RAUM · $4.9B to $3.8B
        Jun 29, 2015 to Jun 29, 2016
      • RAUM · $4.9B to $3.8B
        Jun 29, 2015 to Jun 29, 2016
      • Accounts · 74 to 76
        Jul 18, 2014 to Jun 29, 2015
      • Advisory employees · 8 to 7
        Jul 18, 2014 to Jun 29, 2015
      • Employees · 60 to 64
        Jul 18, 2014 to Jun 29, 2015
      • Discretionary RAUM · $5.5B to $4.9B
        Jul 18, 2014 to Jun 29, 2015
      • RAUM · $5.5B to $4.9B
        Jul 18, 2014 to Jun 29, 2015
      • Accounts · 78 to 74
        Jan 28, 2014 to Jun 26, 2014
      • Advisory employees · 7 to 8
        Jan 28, 2014 to Jun 26, 2014
      • HQ city · SHIBUYA-KU, TOKYO to CHIYODA-KU, TOKYO
        Jan 28, 2014 to Jun 26, 2014
      • Discretionary RAUM · $5.4B to $5.5B
        Jan 28, 2014 to Jun 26, 2014
      • Non-discretionary RAUM · $680M to $0
        Jan 28, 2014 to Jun 26, 2014
      • RAUM · $6.1B to $5.5B
        Jan 28, 2014 to Jun 26, 2014
      • Accounts · 66 to 78
        Jun 19, 2012 to Jun 25, 2013
      • Advisory employees · unset to 7.0
        Jun 19, 2012 to Jun 25, 2013
      • Advisory activities · 1 to 2
        Jun 19, 2012 to Jun 25, 2013
      • Employees · unset to 60.0
        Jun 19, 2012 to Jun 25, 2013
      • Discretionary RAUM · $5.4B to $5.4B
        Jun 19, 2012 to Jun 25, 2013
      • Non-discretionary RAUM · $659M to $680M
        Jun 19, 2012 to Jun 25, 2013
      • RAUM · $6.0B to $6.1B
        Jun 19, 2012 to Jun 25, 2013
      • Accounts · 80 to 66
        Apr 20, 2012 to Jun 19, 2012
      • Advisory activities · 2 to 1
        Apr 20, 2012 to Jun 19, 2012
      • Business name · MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED to MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.
        Apr 20, 2012 to Jun 19, 2012
      • Discretionary RAUM · $2.7B to $5.4B
        Apr 20, 2012 to Jun 19, 2012
      • Non-discretionary RAUM · $599M to $659M
        Apr 20, 2012 to Jun 19, 2012
      • RAUM · $3.3B to $6.0B
        Apr 20, 2012 to Jun 19, 2012
      • Related bank · false to true
        Apr 20, 2012 to Jun 19, 2012
      • Legal name · MORGAN STANLEY ASSET & INVESTMENT TRUST MANAGEMENT CO., LIMITED to MORGAN STANLEY INVESTMENT MANAGEMENT (JAPAN) CO., LTD.
        Apr 11, 2012 to Apr 20, 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