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.
SEC-registered adviser
Fidelity Management & Research (Japan) Limited
Latest filing Jun 29, 2026
First filing on the tape Feb 22, 2012 · 65 filings
SEC status approved since Sep 26, 2008
RAUM
$2.4B
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
12
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$2.4B as of Jun 29, 2026
Mar 25, 2014$2.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Mar 28, 20120 then
Employees (5.A)12 as of Jun 29, 2026
Mar 27, 201312 then
Private funds: no history
RAUM -20% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; 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
- $787MderivedRAUM 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
- -4.7%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, otherreportedItem 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
- 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
- Investment companies$2.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
- Jean Stephanie Brown · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- Michael Timothy Cohen · Directorcontrolsince 11/2016 · owns less than 5%
- (Nmn) Rieko Hirai · Directorcontrolsince 11/2016 · owns less than 5%
- Roland Kirk Neureiter · Director, Presidentcontrolsince 11/2016 · owns less than 5%
- John Christopher Rimmer · Head Of Asset Management Finance, Treasurercontrolsince 09/2018 · owns less than 5%
- Norr Nathaniel Salter · Directorcontrolsince 07/2023 · owns less than 5%
- Francis William Shanley III · Directorcontrolsince 11/2016 · owns less than 5%
- Crosby Edward Johnson IV · Elected Managercontrolsince 04/2006 · owns F of Fmr LLC
- Pierrepont Abigail Johnson · Elected Managercontrolsince 05/1994 · owns F of Fmr LLC
- John Gerard Mcgraw · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
- Charles Stephen Neff · Elected Managercontrolsince 04/2023 · owns F of Fmr LLC
- Engber Michael Wilens · Elected Managercontrolsince 10/2014 · owns F of Fmr LLC
- (Nmn) Kenji Kanemasu · Compliance Officersince 09/2023 · owns less than 5%
- Jane Nicole Macarchuk · Chief Legal Officersince 09/2024 · owns less than 5%
- Man Kan Wong · Directorsince 09/2019 · owns less than 5%
Entity owners
- Fidelity Management & Research Company LLC · Shareholderdirect · owns 75% or more
- Fmr LLC · Shareholderindirect · owns 75% or more of Fidelity Management & Research Company
Related persons
Schedule D 7.A
- 42 North Resource Partners Advisors II LPpooled vehicle sponsorn
- 42 North Resource Partners Advisors LPpooled vehicle sponsorn
- Agilus Ventures Advisors IV Limited Partnershippooled vehicle sponsorn
- Alimont Ventures Advisors V Limited Partnershippooled vehicle sponsorn
- Avon Venture Advisors Fund I LPpooled vehicle sponsorn
- Avon Venture Advisors Fund II LPpooled vehicle sponsorn
- Ballyrock Investment Advisors LLCinvestment advisernRAUM $11B
- Di Consumer Advisors Fund I LPpooled vehicle sponsorn
- Di Opportunity Advisors Fund LPpooled vehicle sponsorn
- Digital Brokerage Services LLCbroker-dealern
- Empire Fidelity Investments Life Insurance Companyreal estaten
- F-Prime Capital Partners Healthcare Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund IV-A LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund LPpooled vehicle sponsorn
- F-Prime Capital Partners Healthcare Advisors Fund V LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund III LPpooled vehicle sponsorn
- F-Prime Capital Partners Hits Advisors Fund LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vi LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Vii LPpooled vehicle sponsorn
- F-Prime Capital Partners Life Sciences Advisors Fund Viii LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund 2021 LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund II LPpooled vehicle sponsorn
- F-Prime Capital Partners Tech Advisors Fund LPpooled vehicle sponsorn
- Fiam Index Fund Gp, LLCbankpooled vehicle sponsorn
- Fiam Institutional Funds Manager, LLCbankpooled vehicle sponsorn
- Fiam LLCinvestment adviserbankLP sponsornRAUM $348B
- Fidelity Brokerage Services LLCbroker-dealern
Advisers that list Fidelity Management & Research (Japan) Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jun 29, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-05-15, no on the filing of 2026-06-29peers: asset managers, $1B to $5B (1,506)
- compensation changedChange between filings · filing Jun 29, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2026-05-15, no on the filing of 2026-06-29peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 8 to 3May 15, 2026 to Jun 29, 2026
- Advisory employees · 9 to 8May 15, 2026 to Jun 29, 2026
- Advisory activities · 3 to 2May 15, 2026 to Jun 29, 2026
- Pooled vehicle clients · 3.0 to unsetMay 15, 2026 to Jun 29, 2026
- Discretionary RAUM · $2.8B to $2.4BMay 15, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · 269347143.0 to unsetMay 15, 2026 to Jun 29, 2026
- RAUM · $2.8B to $2.4BMay 15, 2026 to Jun 29, 2026
- Accounts · 9 to 8May 21, 2025 to Jun 27, 2025
- Advisory employees · 8 to 9May 21, 2025 to Jun 27, 2025
- Employees · 11 to 12May 21, 2025 to Jun 27, 2025
- Financial planning clients · unset to May 21, 2025 to Jun 27, 2025
- Discretionary RAUM · $2.8B to $2.8BMay 21, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · $236M to $269MMay 21, 2025 to Jun 27, 2025
- RAUM · $2.8B to $2.8BMay 21, 2025 to Jun 27, 2025
- HQ state · unset to Oct 18, 2024 to Jan 23, 2025
- Discretionary RAUM · $2.9B to $2.8BMar 28, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · $260M to $236MMar 28, 2024 to Jun 28, 2024
- RAUM · $2.9B to $2.8BMar 28, 2024 to Jun 28, 2024
- Accounts · 14 to 9Jun 6, 2023 to Jun 27, 2023
- Advisory activities · 2 to 3Jun 6, 2023 to Jun 27, 2023
- Employees · 13 to 11Jun 6, 2023 to Jun 27, 2023
- Discretionary RAUM · $7.0B to $2.9BJun 6, 2023 to Jun 27, 2023
- Pooled vehicle RAUM · $290M to $260MJun 6, 2023 to Jun 27, 2023
- RAUM · $7.0B to $2.9BJun 6, 2023 to Jun 27, 2023
- Accounts · 17 to 14Jan 24, 2022 to Jun 29, 2022
- Advisory employees · 11 to 8Jan 24, 2022 to Jun 29, 2022
- Employees · 15 to 13Jan 24, 2022 to Jun 29, 2022
- Discretionary RAUM · $7.8B to $7.0BJan 24, 2022 to Jun 29, 2022
- Pooled vehicle RAUM · $312M to $290MJan 24, 2022 to Jun 29, 2022
- RAUM · $7.8B to $7.0BJan 24, 2022 to Jun 29, 2022
- Accounts · 11 to 17Mar 11, 2021 to Jun 24, 2021
- Advisory employees · 10 to 11Mar 11, 2021 to Jun 24, 2021
- Pooled vehicle clients · 1 to 3Mar 11, 2021 to Jun 24, 2021
- Employees · 17 to 15Mar 11, 2021 to Jun 24, 2021
- Discretionary RAUM · $4.2B to $7.8BMar 11, 2021 to Jun 24, 2021
- Pooled vehicle RAUM · $42.0M to $312MMar 11, 2021 to Jun 24, 2021
- RAUM · $4.2B to $7.8BMar 11, 2021 to Jun 24, 2021
- Accounts · 9 to 11Feb 3, 2020 to Jun 26, 2020
- Employees · 15 to 17Feb 3, 2020 to Jun 26, 2020
- Discretionary RAUM · $4.0B to $4.2BFeb 3, 2020 to Jun 26, 2020
Signals
13 dated events
- Joseph John Remondi (Elected Manager) no longer on Schedule A of Fidelity Management & Research (Japan) Limited (listed 2023-09-08, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Norr Nathaniel Salter (Director) appeared on Schedule A of Fidelity Management & Research (Japan) LimitedAug 8, 2023 · Control person joined · fact
- Joseph Richard Hogan (Director) no longer on Schedule A of Fidelity Management & Research (Japan) Limited (listed 2023-06-27, absent 2023-08-08)Aug 8, 2023 · Control person left · inference
- Fidelity Management & Research (Japan) Limited reported RAUM $2.9B, down 58% from $7.0B (2023-06-06 to 2023-06-27)Jun 27, 2023 · RAUM change · derived
- Charles Stephen Neff (Elected Manager) appeared on Schedule A of Fidelity Management & Research (Japan) LimitedJun 6, 2023 · Control person joined · fact
- Jean Stephanie Brown (Chief Compliance Officer) appeared on Schedule A of Fidelity Management & Research (Japan) LimitedJan 23, 2023 · Control person joined · fact
- Charles James Curvey (Elected Manager) no longer on Schedule A of Fidelity Management & Research (Japan) Limited (listed 2022-12-07, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Matthew Kevin Meagher (Chief Compliance Officer) no longer on Schedule A of Fidelity Management & Research (Japan) Limited (listed 2022-12-07, absent 2023-01-23)Jan 23, 2023 · Control person left · inference
- Fidelity Management & Research (Japan) Limited reported RAUM $7.8B, up 87% from $4.2B (2021-03-11 to 2021-06-24)Jun 24, 2021 · RAUM change · derived
- Joseph Richard Hogan (Director) appeared on Schedule A of Fidelity Management & Research (Japan) LimitedOct 20, 2020 · Control person joined · fact
- Frank Joseph Desantis (Director) no longer on Schedule A of Fidelity Management & Research (Japan) Limited (listed 2020-06-26, absent 2020-10-20)Oct 20, 2020 · Control person left · inference
- Fidelity Management & Research (Japan) Limited reported RAUM $4.1B, up 80% from $2.3B (2018-04-09 to 2018-06-19)Jun 19, 2018 · RAUM change · derived
- Fidelity Management & Research (Japan) Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Dec 23, 2014 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Principal office phone
- 81(0)3-4560-5800reportedpublic record, Form ADV, Jun 29, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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