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 Global Alpha LLC

Former SEC-registered adviserNew York, New YorkCRD 147302SEC 801-69212IAPD
Latest filing Aug 16, 2019
First filing on the tape Mar 29, 2012 · 25 filings
RAUM
$149M
reported, Item 5.F
Discretionary
43%
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
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$63.9M gross assets
History
25 filings and snapshots on the tape
RAUM$149M as of Jun 24, 2019
Jun 29, 2012$2.0B then
HNW client RAUM$0 as of Jun 24, 2019
Jun 22, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2019
Jun 28, 20130 then
Employees (5.A)5 as of Jun 24, 2019
Jun 28, 20136 then
Private funds1 as of Jun 24, 2019
Jun 29, 20122 then
RAUM -59% over the last fiscal year-38% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 16, 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
$49.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
43%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
-59%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$63.9M, 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
  • Pooled investment vehicles$149M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$63.9M for 1 clientsreported
Compensation
% of AUM, 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Nga Institutional Libor Fund Limitedno longer reportedHedge Fund$106M1Mar 29, 2012
      Nga Capital Fund LimitedHedge Fund$63.9M7Mar 29, 2012
      Nga Futures Fund Limitedno longer reportedHedge Fund$4.5M1May 26, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • Anthony Neil Daniele · Chief Compliance Officer, Corporate Secretarycontrol
        since 06/2008 · owns less than 5%
      • Hideo Kajiwara · Chief Investment Officercontrol
        since 07/2019 · owns less than 5%
      • Zheng Liu · Chief Administrative Officercontrol
        since 09/2018 · owns less than 5%
      • Yuichi Nomoto · Presidentcontrol
        since 04/2019 · owns less than 5%
      • Jessica Amy Robles · Treasurercontrol
        since 12/2013 · owns less than 5%
      Entity owners
      • Nomura Asset Management U.S.A. Inc. · Member
        direct · owns 75% or more
      • Nomura Asset Management Co., Ltd. · Shareholder
        indirect · owns 75% or more of Nomura Asset Management U.S.A. Inc.
      • Nomura Holdings, Inc. (Formerly Named The Nomura Securities Co., Ltd.) · Stockholder
        indirect · owns 75% or more of Nomura Asset Management Co., Ltd. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Nomura Global Alpha LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        Jun 24, 2019 to Aug 16, 2019
      • Employees · 5 to 3
        Jun 24, 2019 to Aug 16, 2019
      • Assets in custody · $186M to $63.9M
        Apr 3, 2019 to Jun 24, 2019
      • Discretionary RAUM · $188M to $63.9M
        Apr 3, 2019 to Jun 24, 2019
      • Non-discretionary RAUM · $173M to $85.6M
        Apr 3, 2019 to Jun 24, 2019
      • Pooled vehicle RAUM · $361M to $149M
        Apr 3, 2019 to Jun 24, 2019
      • RAUM · $361M to $149M
        Apr 3, 2019 to Jun 24, 2019
      • Accounts · 4 to 3
        Jul 5, 2017 to Jun 22, 2018
      • Advisory activities · 1 to 2
        Jul 5, 2017 to Jun 22, 2018
      • Charity clients · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Corporate clients · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • HNW clients · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Individual clients · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Pension plan clients · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Pooled vehicle clients · unset to 3.0
        Jul 5, 2017 to Jun 22, 2018
      • Assets in custody · $208M to $186M
        Jul 5, 2017 to Jun 22, 2018
      • Other offices · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Private funds · 2 to 1
        Jul 5, 2017 to Jun 22, 2018
      • Discretionary RAUM · $460M to $188M
        Jul 5, 2017 to Jun 22, 2018
      • HNW RAUM · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Individual RAUM · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Non-discretionary RAUM · $0 to $173M
        Jul 5, 2017 to Jun 22, 2018
      • Pension RAUM · unset to 0.0
        Jul 5, 2017 to Jun 22, 2018
      • Pooled vehicle RAUM · unset to 360914802.0
        Jul 5, 2017 to Jun 22, 2018
      • RAUM · $460M to $361M
        Jul 5, 2017 to Jun 22, 2018
      • Accounts · 8 to 4
        Sep 13, 2016 to Jun 21, 2017
      • Advisory employees · 7 to 5
        Sep 13, 2016 to Jun 21, 2017
      • Assets in custody · $308M to $208M
        Sep 13, 2016 to Jun 21, 2017
      • Employees · 7 to 5
        Sep 13, 2016 to Jun 21, 2017
      • Discretionary RAUM · $640M to $460M
        Sep 13, 2016 to Jun 21, 2017
      • RAUM · $640M to $460M
        Sep 13, 2016 to Jun 21, 2017
      • Accounts · 5 to 8
        Jul 13, 2015 to Jun 27, 2016
      • Assets in custody · $426M to $308M
        Jul 13, 2015 to Jun 27, 2016
      • Private funds · 3 to 2
        Jul 13, 2015 to Jun 27, 2016
      • Discretionary RAUM · $2.7B to $640M
        Jul 13, 2015 to Jun 27, 2016
      • RAUM · $2.7B to $640M
        Jul 13, 2015 to Jun 27, 2016
      • Accounts · 4 to 5
        May 26, 2015 to Jun 25, 2015
      • Advisory employees · 6 to 7
        May 26, 2015 to Jun 25, 2015
      • Assets in custody · $295M to $426M
        May 26, 2015 to Jun 25, 2015
      • Employees · 9 to 7
        May 26, 2015 to Jun 25, 2015
      Signals
      5 dated events
      • Shalabh Garg (Chief Investment Officer) no longer on Schedule A of Nomura Global Alpha Llc (listed 2019-06-24, absent 2019-08-16)
        Aug 16, 2019 · Control person left · inference
      • Hideo Kajiwara (Chief Investment Officer) appeared on Schedule A of Nomura Global Alpha Llc
        Aug 16, 2019 · Control person joined · fact
      • Nomura Global Alpha Llc reported RAUM $149.5M, down 59% from $360.9M (2019-04-03 to 2019-06-24)
        Jun 24, 2019 · RAUM change · derived
      • Yutaka Itabashi (President) no longer on Schedule A of Nomura Global Alpha Llc (listed 2018-09-25, absent 2019-04-03)
        Apr 3, 2019 · Control person left · inference
      • Yuichi Nomoto (President) appeared on Schedule A of Nomura Global Alpha Llc
        Apr 3, 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