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
Bny Mellon Investment Management Japan Limited
Latest filing Jun 24, 2021
First filing on the tape Dec 24, 2013 · 23 filings
RAUM
$32B
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
81
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$32B as of Jun 24, 2021
Jun 23, 2014$12B then
HNW client RAUM$0 as of Jun 24, 2021
Jun 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2021
Jun 23, 20140 then
Employees (5.A)81 as of Jun 24, 2021
Jun 23, 2014108 then
Private funds: no history
RAUM +30% over the last fiscal year+1.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2021; 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
- $378MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 54%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
- +30%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 vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- 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)
- 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
- State and municipal entities$15B46%
- Pooled investment vehicles$15B45%
- Pension and profit-sharing plans$2.0B6.2%
- Sovereign wealth funds$620M1.9%
- Corporations and businesses$167M0.5%
- Insurance companies$53.4M0.2%
- Investment companies$2.8M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 23reported
- Charitable clients
- 0reported
- Accounts
- 85reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $118M managedreported
- 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
- Katsutoshi Endo · Representative Director, Presidentcontrolsince 04/2021 · owns less than 5%
- Shin Munezane · Head Of Legal Departmentcontrolsince 05/2011 · owns less than 5%
- Hiroyuki Nagaya · Head Of Administration & Commercial Analytics Divisioncontrolsince 05/2011 · owns less than 5%
- Akihisa Suzuki · Chief Compliance Officercontrolsince 08/2016 · owns less than 5%
- Toshihiro Suzuki · Head Of Finance Departmentcontrolsince 03/2021 · owns less than 5%
- Ryuichi Enomoto · Statutory Auditorsince 06/2014 · owns less than 5%
- John Matthew Oomen · Directorsince 12/2018 · owns less than 5%
- Shogo Yamaguchi · Director, Chairmansince 04/2021 · owns less than 5%
Entity owners
- Bny Mellon Investment Management (Apac) Holdings Limited · Sole Shareholderdirect · owns 75% or more
- Bny Mellon Ihc, LLC · Sole Shareholderindirect · owns 75% or more of Mbc Investment Corporation
- Bny Mellon Investment Management Apac LP · Sole Shareholderindirect · owns 75% or more of Bny Mellon Investment Management (Apac) Holdings Limited
- Mbc Investments Corporation · Shareholderindirect · owns 75% or more of Bny Mellon Investment Management Apac LP
- The Bank Of New York Mellon Corporation · Sole Shareholderindirect · owns 75% or more of Bny Mellon Ihc, LLC · public reporting company
Related persons
Schedule D 7.A
- Benefit Street Partners Limitedinvestment adviserbankpooled vehicle sponsornRAUM $23B
- Bsp Ny LLCinvestment adviserbankpooled vehicle sponsornRAUM $14B
- Arx Investimentos Ltdainvestment adviserbanknRAUM $1.9B
- Bny Mellon Fund Management (Luxembourg) S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Alocacao De Patrimonio Ltdainvestment advisern
- Bny Mellon Asset Management Canada Ltd.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Banco S.A.n
- Bny Mellon Capital Markets Emea Limitedbroker-dealerinvestment adviserbankn
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Etf Investment Adviser, LLCinvestment advisernRAUM $11B
- Bny Mellon Fund Managers Limitedpooled vehicle sponsorn
- Bny Mellon Global Management Limitedpooled vehicle sponsorn
- Bny Mellon Im Korea Limitedinvestment advisern
- Bny Mellon International Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Adviser, Inc.investment adviserbanknRAUM $419B
- Bny Mellon Investment Management (Shanghai) Limitedinvestment advisern
- Bny Mellon Investment Management Australia Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Cayman Ltdinvestment adviserpooled vehicle sponsornRAUM $10B
- Bny Mellon Investment Management Emea Limitedbroker-dealerinvestment advisern
- Bny Mellon Investment Management Hong Kong Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Singapore Pte. Limitedinvestment advisern
- Bny Mellon Investor Solutions, LLCinvestment adviserbanknRAUM $853M
- Bny Mellon National Associationinvestment advisern
- Bny Mellon Securities Corporationbroker-dealerinvestment adviserreal estatenRAUM $8.4B
- Bny Mellon Servicos Financerios Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.broker-dealerinvestment advisern
- Bny Mellon Trust Company (Ireland) Limitedn
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Bny Mellon Wealth Management Advisory Services, Inc.broker-dealerinvestment adviserpooled vehicle sponsorn
- Cibc Mellon Global Securities Services Companyn
Advisers that list Bny Mellon Investment Management Japan Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 99 to 85Apr 23, 2021 to Jun 24, 2021
- Advisory employees · 15 to 13Apr 23, 2021 to Jun 24, 2021
- Pension plan clients · 24 to 23Apr 23, 2021 to Jun 24, 2021
- Pooled vehicle clients · 61 to 54Apr 23, 2021 to Jun 24, 2021
- Employees · 87 to 81Apr 23, 2021 to Jun 24, 2021
- Discretionary RAUM · $25B to $32BApr 23, 2021 to Jun 24, 2021
- Pension RAUM · $1.3B to $2.0BApr 23, 2021 to Jun 24, 2021
- Pooled vehicle RAUM · $14B to $15BApr 23, 2021 to Jun 24, 2021
- RAUM · $25B to $32BApr 23, 2021 to Jun 24, 2021
- Wrap assets (manager) · $91.6M to $118MApr 23, 2021 to Jun 24, 2021
- Accounts · 106 to 99Apr 19, 2020 to Jun 26, 2020
- Advisory employees · 14 to 15Apr 19, 2020 to Jun 26, 2020
- Business name · BNY MELLON ASSET MANAGEMENT JAPAN LIMITED to BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITEDApr 19, 2020 to Jun 26, 2020
- Pension plan clients · 31 to 24Apr 19, 2020 to Jun 26, 2020
- Pooled vehicle clients · 67 to 61Apr 19, 2020 to Jun 26, 2020
- Legal name · BNY MELLON ASSET MANAGEMENT JAPAN LIMITED to BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITEDApr 19, 2020 to Jun 26, 2020
- Discretionary RAUM · $26B to $25BApr 19, 2020 to Jun 26, 2020
- Pension RAUM · $1.5B to $1.3BApr 19, 2020 to Jun 26, 2020
- Pooled vehicle RAUM · $15B to $14BApr 19, 2020 to Jun 26, 2020
- RAUM · $26B to $25BApr 19, 2020 to Jun 26, 2020
- Wrap assets (manager) · $381M to $91.6MApr 19, 2020 to Jun 26, 2020
- Accounts · 100 to 106Mar 12, 2019 to Jun 25, 2019
- Advisory employees · 15 to 14Mar 12, 2019 to Jun 25, 2019
- Advisory activities · 3 to 4Mar 12, 2019 to Jun 25, 2019
- Pension plan clients · 25 to 31Mar 12, 2019 to Jun 25, 2019
- Employees · 88 to 87Mar 12, 2019 to Jun 25, 2019
- Discretionary RAUM · $31B to $26BMar 12, 2019 to Jun 25, 2019
- Pension RAUM · $1.4B to $1.5BMar 12, 2019 to Jun 25, 2019
- Pooled vehicle RAUM · $18B to $15BMar 12, 2019 to Jun 25, 2019
- RAUM · $31B to $26BMar 12, 2019 to Jun 25, 2019
- Wrap assets (manager) · $409M to $381MMar 12, 2019 to Jun 25, 2019
- Accounts · 118 to 100Jul 3, 2017 to Jun 27, 2018
- Charity clients · unset to 0.0Jul 3, 2017 to Jun 27, 2018
- Corporate clients · unset to 4.0Jul 3, 2017 to Jun 27, 2018
- HNW clients · unset to 0.0Jul 3, 2017 to Jun 27, 2018
- Individual clients · unset to 0.0Jul 3, 2017 to Jun 27, 2018
- Pension plan clients · unset to 25.0Jul 3, 2017 to Jun 27, 2018
- Pooled vehicle clients · unset to 67.0Jul 3, 2017 to Jun 27, 2018
- Employees · 92 to 88Jul 3, 2017 to Jun 27, 2018
- Financial planning clients · unset to 0Jul 3, 2017 to Jun 27, 2018
Signals
6 dated events
- Bny Mellon Investment Management Japan Limited reported RAUM $32.1B, up 30% from $24.7B (2021-04-23 to 2021-06-24)Jun 24, 2021 · RAUM change · derived
- Katsutoshi Endo (Representative Director, President) appeared on Schedule A of Bny Mellon Investment Management Japan LimitedApr 22, 2021 · Control person joined · fact
- Lee Douglas Hymas (Director) no longer on Schedule A of Bny Mellon Investment Management Japan Limited (listed 2020-06-26, absent 2021-04-22)Apr 22, 2021 · Control person left · inference
- Doni Shamsuddin (Director) no longer on Schedule A of Bny Mellon Investment Management Japan Limited (listed 2019-03-12, absent 2019-06-25)Jun 25, 2019 · Control person left · inference
- Bny Mellon Investment Management Japan Limited reported RAUM $31.0B, up 34% from $23.0B (2017-07-03 to 2018-06-27)Jun 27, 2018 · RAUM change · derived
- Bny Mellon Asset Management Japan Limited filed its initial SEC registration (Form ADV)Dec 24, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- BNY Mellon Investment Management Japan Limited · Private Equityshared crd · intermediary
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