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
Nikko Asset Management Hong Kong Limited
Latest filing Oct 5, 2023
First filing on the tape Feb 22, 2012 · 31 filings
RAUM
$35.5M
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
9
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jun 27, 2023
Jun 21, 20134 then
Employees (5.A)9 as of Jun 27, 2023
Jun 21, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Oct 5, 2023; every figure names its basis
- RAUM per advisor
- $17.8MderivedRAUM 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
- $11.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 pooled vehiclesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$35.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Yasuaki Ogiwara · Directorcontrolsince 07/2015 · owns less than 5%
- Oon Hui Eleanor Seet · Directorcontrolsince 08/2015 · owns less than 5%
- Ming Hua Don Wang · Chief Legal Officercontrolsince 12/2011 · owns less than 5%
- Kiyotaka Ryu · Directorsince 03/2019 · owns less than 5%
- Sze Lai Cynthia Yeung · Chief Compliance Officersince 04/2014 · owns less than 5%
Entity owners
- Nikko Asset Management International Limited · Shareholderdirect · owns 75% or more
- Nikko Asset Management Co., Ltd. · Shareholderindirect · owns 75% or more of Nikko Asset Management International Limited
- Sumitomo Mitsui Trust Holdings Inc. · Shareholderindirect · owns 75% or more of Sumitomo Trust Bank, Limited
Related persons
Schedule D 7.A
- Japan Trsutee Services Bank, Ltdn
- Nikko Am Global Cayman Limitedinvestment adviserpooled vehicle sponsorn
- Amova Asset Management Americas, Inc.investment adviserbanknRAUM $7.8B
- Amova Asset Management Asia Limitedinvestment advisernRAUM $14B
- Amova Asset Management Co.,Ltd.broker-dealerinvestment adviseryRAUM $247B
- Amova Asset Management Uk Limitedinvestment advisernRAUM $19B
- Nikko Asset Management Luxembourg S.A.pooled vehicle sponsorn
- Nikko Asset Management New Zealand Limitedinvestment advisern
- Nippon Institutional Securities Co., Ltdbroker-dealern
- Rongtong Fund Management Co., Ltdinvestment advisern
- Rongtong Global Investment Limitedinvestment advisery
- Sbi Sumishin Net Bank, Ltdn
- Shen Zhen Rongtong Capital Management Co., Ltdinvestment advisern
- Sumitomo Mitsui Trust Asset Management Co., Ltd.investment adviserbankn
- Sumitomo Mitsui Trust Bank (Luxembourg)S.A.n
- Sumitomo Mitsui Trust Bank (U.S.A.) Limitedinvestment advisern
- Sumitomo Mitsui Trust Bank, Limitedinvestment adviserinvestment companypooled vehicle sponsorLP sponsory
Advisers that list Nikko Asset Management Hong Kong Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 3.0Aug 28, 2023 to Oct 5, 2023
- Pooled vehicle clients · unset to 3.0Aug 28, 2023 to Oct 5, 2023
- Discretionary RAUM · unset to 35521921.0Aug 28, 2023 to Oct 5, 2023
- Non-discretionary RAUM · unset to 0.0Aug 28, 2023 to Oct 5, 2023
- Pooled vehicle RAUM · unset to 35521921.0Aug 28, 2023 to Oct 5, 2023
- RAUM · unset to 35521921.0Aug 28, 2023 to Oct 5, 2023
- Employees · 10 to 9Nov 30, 2022 to Jun 27, 2023
- Employees · 11 to 10Jul 1, 2021 to Jun 23, 2022
- Insurance-licensed employees · 0 to 2Jul 1, 2021 to Jun 23, 2022
- Employees · 9 to 11Apr 14, 2021 to Jun 24, 2021
- Advisory employees · 3 to 2Jul 9, 2019 to Jun 25, 2020
- State-registered IARs · 3 to 2Jul 9, 2019 to Jun 25, 2020
- Employees · 10 to 9Jun 27, 2018 to Jun 26, 2019
- Advisory employees · 2 to 3Jul 25, 2017 to Jun 27, 2018
- Employees · 8 to 10Jul 25, 2017 to Jun 27, 2018
- State-registered IARs · 2 to 3Jul 25, 2017 to Jun 27, 2018
- Other offices · unset to 0.0Jul 25, 2017 to Jun 27, 2018
- Advisory employees · 1 to 2Jan 19, 2016 to Jun 28, 2016
- State-registered IARs · 0 to 2Jan 19, 2016 to Jun 28, 2016
- Employees · 6 to 8Oct 13, 2014 to Jun 29, 2015
- Related broker-dealer · false to trueOct 13, 2014 to Jun 29, 2015
- Employees · 7 to 6Apr 22, 2014 to Jun 27, 2014
- Insurance-licensed employees · 3 to 0Apr 22, 2014 to Jun 27, 2014
- State-registered IARs · 4 to 0Apr 22, 2014 to Jun 27, 2014
- Accounts · 1.0 to unsetMar 28, 2012 to Jun 21, 2013
- Advisory employees · unset to 1.0Mar 28, 2012 to Jun 21, 2013
- BD registered reps · unset to 0.0Mar 28, 2012 to Jun 21, 2013
- Employees · unset to 7.0Mar 28, 2012 to Jun 21, 2013
- State-registered IARs · unset to 4.0Mar 28, 2012 to Jun 21, 2013
- Discretionary RAUM · 6706786.0 to unsetMar 28, 2012 to Jun 21, 2013
- Non-discretionary RAUM · 0.0 to unsetMar 28, 2012 to Jun 21, 2013
- RAUM · 6706786.0 to unsetMar 28, 2012 to Jun 21, 2013
- Related broker-dealer · true to falseMar 28, 2012 to Jun 21, 2013
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