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

Mizuho Alternative Investments, LLC

Former SEC-registered adviserNew York, New YorkCRD 145218SEC 801-68869IAPD
Latest filing May 10, 2019
First filing on the tape Mar 23, 2012 · 38 filings
RAUM
$1.1B
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
26
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$230M gross assets
History
38 filings and snapshots on the tape
RAUM$1.2B as of Mar 28, 2019
Mar 23, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20130 then
Employees (5.A)26 as of Mar 28, 2019
Mar 28, 201328 then
Private funds5 as of Mar 28, 2019
Mar 23, 20127 then
RAUM +0.9% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 10, 2019; 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
$45.1MderivedRAUM 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
+7.6%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
$333M, 10 clientsreportedItem 9.A
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)
  • 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
  • Pooled investment vehicles$1.0B96%
  • Investment companies$39.0M3.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
24reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$333M for 10 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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      US Investment Grade Alternative Bear Fundno longer reportedHedge Fund$248M1Mar 30, 2015
      European Investment Grade Alternative Bull Fundno longer reportedHedge Fund$170M1Mar 30, 2015
      Triprism US Credit Alternative Fundno longer reportedHedge Fund$99.6M1Mar 23, 2012
      Crystal Japan FundHedge Fund$62.4M1Mar 23, 2012
      Crystal Japan Fund IIno longer reportedHedge Fund$34.6M1Mar 21, 2014
      Esper Alternative Fundno longer reportedHedge Fund$31.4M1Mar 23, 2012
      Sapphire Alternative Beta Fund Ino longer reportedHedge Fund$27.7M1Mar 23, 2012
      Asia Pacific Alternative Beta Plus Fundno longer reportedHedge Fund$19.7M1Mar 23, 2012
      Hm Crystal Diversified Master Fund LPno longer reportedHedge Fund$14.1M3Mar 28, 2013
      Crystal Global Master Fund LPno longer reportedHedge Fund$11.9M3Mar 23, 2012
      US Investment Grade Alternative Bull Fundno longer reportedHedge Fund$8.3M1Mar 30, 2015
      European Investment Grade Alternative Bear Fundno longer reportedHedge Fund$8.3M1Mar 30, 2015
      Sapphire Alternative Beta Fund IIno longer reportedHedge Fund$01Mar 28, 2013
      Sapphire Alternative Beta Fund IIno longer reportedHedge Fund$00Mar 28, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • Naoki Mizuguchi · Chief Administrative Officercontrol
        since 04/2016 · owns less than 5%
      • Yanovna Ksenia Portnoy · General Counsel And Chief Compliance Officercontrol
        since 06/2015 · owns less than 5%
      • Tetsuji Toda · President And Chief Executive Officercontrol
        since 04/2019 · owns less than 5%
      Entity owners
      • Mizuho Americas LLC · Member, Bank Holding Company
        direct · owns 75% or more
      • Mizuho Bank, Ltd · Owner
        indirect · owns 75% or more of Mizuho Americas LLC
      • Mizuho Financial Group, Inc. · Owner
        indirect · owns 75% or more of Mizuho Bank, Ltd.
      Related persons
      Schedule D 7.A
      • Asset Management One Co., Ltd.
        investment adviserpooled vehicle sponsornRAUM $471B
      • Asset Management One USA Inc.
        investment adviserbankpooled vehicle sponsornRAUM $2.9B
      • Mizuho Americas, LLC
        y
      • Mizuho Bank (USA)
        custodiann
      • Mizuho Bank, Ltd.
        y
      • Mizuho Financial Group Inc.
        y
      • Mizuho Securities Co., Ltd.
        broker-dealertrust companyn
      • Mizuho Securities USA LLC
        broker-dealertrust companyn
      • Mizuho Trust & Banking Co., Ltd.
        investment companyn
      • Mizuho-Dl Financial Technology Co., Ltd.
        investment advisern
      • Trust & Custody Services Bank, Ltd.
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.2B to $1.1B
        Mar 28, 2019 to May 10, 2019
      • Pooled vehicle RAUM · $1.1B to $1.0B
        Mar 28, 2019 to May 10, 2019
      • RAUM · $1.2B to $1.1B
        Mar 28, 2019 to May 10, 2019
      • Accounts · 20 to 24
        May 1, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 19 to 23
        May 1, 2018 to Mar 28, 2019
      • Assets in custody · $286M to $333M
        May 1, 2018 to Mar 28, 2019
      • Discretionary RAUM · $1.1B to $1.2B
        May 1, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $1.1B to $1.1B
        May 1, 2018 to Mar 28, 2019
      • RAUM · $1.1B to $1.2B
        May 1, 2018 to Mar 28, 2019
      • Accounts · 26 to 20
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 12 to 13
        Mar 31, 2017 to Mar 28, 2018
      • Advisory activities · 2 to 3
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 19.0
        Mar 31, 2017 to Mar 28, 2018
      • Assets in custody · $352M to $286M
        Mar 31, 2017 to Mar 28, 2018
      • Employees · 25 to 26
        Mar 31, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 28, 2018
      • Discretionary RAUM · $1.5B to $1.1B
        Mar 31, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 1058281784.0
        Mar 31, 2017 to Mar 28, 2018
      • RAUM · $1.5B to $1.1B
        Mar 31, 2017 to Mar 28, 2018
      • Advisory employees · 14 to 12
        Jul 11, 2016 to Mar 31, 2017
      • Advisory activities · 4 to 2
        Jul 11, 2016 to Mar 31, 2017
      • Assets in custody · $358M to $352M
        Jul 11, 2016 to Mar 31, 2017
      • Employees · 26 to 25
        Jul 11, 2016 to Mar 31, 2017
      • Private funds · 6 to 5
        Jul 11, 2016 to Mar 31, 2017
      • Discretionary RAUM · $666M to $1.5B
        Jul 11, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $2.1B to $0
        Jul 11, 2016 to Mar 31, 2017
      • RAUM · $2.8B to $1.5B
        Jul 11, 2016 to Mar 31, 2017
      • Assets in custody · $347M to $358M
        Apr 29, 2016 to Jul 8, 2016
      • Discretionary RAUM · $675M to $666M
        Apr 29, 2016 to Jul 8, 2016
      • Non-discretionary RAUM · $2.2B to $2.1B
        Apr 29, 2016 to Jul 8, 2016
      • RAUM · $2.8B to $2.8B
        Apr 29, 2016 to Jul 8, 2016
      • Accounts · 25 to 26
        Apr 4, 2016 to Apr 29, 2016
      • Assets in custody · $341M to $347M
        Apr 4, 2016 to Apr 29, 2016
      • Discretionary RAUM · $975M to $675M
        Apr 4, 2016 to Apr 29, 2016
      • Non-discretionary RAUM · $2.2B to $2.2B
        Apr 4, 2016 to Apr 29, 2016
      • RAUM · $3.1B to $2.8B
        Apr 4, 2016 to Apr 29, 2016
      • Accounts · 17 to 25
        Jun 16, 2015 to Mar 30, 2016
      • Advisory employees · 12 to 14
        Jun 16, 2015 to Mar 30, 2016
      • Advisory activities · 3 to 4
        Jun 16, 2015 to Mar 30, 2016
      • Assets in custody · $984M to $341M
        Jun 16, 2015 to Mar 30, 2016
      Signals
      4 dated events
      • Frederick Christopher Crawford (Chief Operating Officer) no longer on Schedule A of Mizuho Alternative Investments, Llc (listed 2019-03-28, absent 2019-05-10)
        May 10, 2019 · Control person left · inference
      • Masanobu Yamaguchi (President And Chief Executive Officer) no longer on Schedule A of Mizuho Alternative Investments, Llc (listed 2019-03-28, absent 2019-05-10)
        May 10, 2019 · Control person left · inference
      • Tetsuji Toda (President And Chief Executive Officer) appeared on Schedule A of Mizuho Alternative Investments, Llc
        May 10, 2019 · Control person joined · fact
      • Mizuho Alternative Investments, Llc reported RAUM $1.1B, down 27% from $1.5B (2017-03-31 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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
      Across the graphs

      Mizuho Alternative Investments, LLC is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

      Checking your plan…