DFX Intelligence

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M••••• C•••••• I•••

Asset manager (funds and pooled vehicles)SEC-registered· Tokyowebsite

Asset manager (funds and pooled vehicles), based in Tokyo, reporting $512M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-08-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $512M
Advisors: 0
RAUM change, 1 year: -33%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-08-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

3 changes
ownership and control
0 control persons joined and 3 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
-33.2%
RAUM, one year
RAUM $766M to $512M (-33.2%) on the Form ADV filed 19 Aug 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 282308 · SEC 801-107205 · 19 filingsShow

CRD 282308SEC 801-107205First filing on the tape Jan 19, 2016, latest Aug 19, 2026SEC status approved since Feb 9, 2016IAPD

RAUM

$512M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

6 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM -11% a year over three years · the tape starts Jan 19, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$512M as of Aug 19, 2026

Feb 27, 2017$447M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Aug 19, 2026

Feb 27, 20170 then

Employees (5.A)13 as of Aug 19, 2026

Feb 27, 201711 then

Private funds1 as of May 21, 2026

Feb 27, 20171 then

RAUM -33% over the last fiscal year-11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 19, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $102MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: -33%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
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

96% pooled investment vehicles, 2.9% pension and profit-sharing plans, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

Pooled investment vehicles$493M96%
Pension and profit-sharing plans$14.7M2.9%
Corporations and businesses$4.8M0.9%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 1reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 96% pooled funds, 3% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M••••• E••••••••• F••• I•	Hedge Fund	$157M	2	Feb 27, 2017

Owners and control persons

Schedule A and B, latest filing

A••• T•••• · Chief Investment Officer/Directorcontrol
since 07/2019 · owns 10% to 25%
F•••••••• M••••• · Directorcontrol
since 02/2021 · owns less than 5%
H••••••• T••••••• · Chief Compliance Officercontrol
since 04/2022 · owns less than 5%
N•••••••• Y••••••• · Chief Executive Officer/Directorcontrol
since 10/2013 · owns 50% to 75%
U•••••• A•••• · Managing Directorcontrol
since 03/2020 · owns 10% to 25%

Entity owners

S••••••• M••••• T•••• B••• · Shareholder
direct · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Aug 19, 2026
advises private funds (Item 7.B): yes on the filing of 2026-05-21, no on the filing of 2026-08-19
peers: asset managers, $500M to $1B (784)
institutional asset share shiftChange between filings · filing Apr 1, 2026
institutional share of RAUM moved from 35.0% to 4.0% between the annual amendments of 2025-03-17 and 2026-04-01
peers: asset managers, $500M to $1B (784)
RAUM down 25 %Change between filings · filing Apr 1, 2026
RAUM (Item 5.F) moved from $766,083,000 to $512,107,000 (-33.0%) between the annual amendments of 2025-03-17 and 2026-04-01; the peer median change was +8.0% (671 comparable advisers, 5.0th percentile of changes)
peers: asset managers, $500M to $1B (671) · 5.4% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Private funds · 1 to unset
May 21, 2026 to Aug 19, 2026
Accounts · 9 to 5
Mar 17, 2025 to Feb 16, 2026
Advisory employees · 8 to 6
Mar 17, 2025 to Feb 16, 2026
Charity clients · 1 to 0
Mar 17, 2025 to Feb 16, 2026
Corporate clients · 5 to 3
Mar 17, 2025 to Feb 16, 2026

Full history · 70 changes

Pension plan clients · 2 to 1
Mar 17, 2025 to Feb 16, 2026
Employees · 18 to 13
Mar 17, 2025 to Feb 16, 2026
Discretionary RAUM · $766M to $512M
Mar 17, 2025 to Feb 16, 2026
Pension RAUM · $56.0M to $14.7M
Mar 17, 2025 to Feb 16, 2026
Pooled vehicle RAUM · $498M to $493M
Mar 17, 2025 to Feb 16, 2026
RAUM · $766M to $512M
Mar 17, 2025 to Feb 16, 2026
Financial planning clients · 0 to 0
Feb 12, 2025 to Mar 17, 2025
HQ state · unset to
Feb 13, 2024 to Feb 12, 2025
Discretionary RAUM · $770M to $766M
Feb 13, 2024 to Feb 12, 2025
Pension RAUM · $56.9M to $56.0M
Feb 13, 2024 to Feb 12, 2025
Pooled vehicle RAUM · $501M to $498M
Feb 13, 2024 to Feb 12, 2025
RAUM · $770M to $766M
Feb 13, 2024 to Feb 12, 2025
Advisory employees · 7 to 8
Feb 23, 2023 to Feb 13, 2024
Employees · 16 to 18
Feb 23, 2023 to Feb 13, 2024
Discretionary RAUM · $719M to $770M
Feb 23, 2023 to Feb 13, 2024
Pension RAUM · $47.1M to $56.9M
Feb 23, 2023 to Feb 13, 2024
Pooled vehicle RAUM · $503M to $501M
Feb 23, 2023 to Feb 13, 2024
RAUM · $719M to $770M
Feb 23, 2023 to Feb 13, 2024
Accounts · 10 to 9
Feb 16, 2022 to Feb 23, 2023
Advisory employees · 8 to 7
Feb 16, 2022 to Feb 23, 2023
Employees · 18 to 16
Feb 16, 2022 to Feb 23, 2023
Discretionary RAUM · $1.1B to $719M
Feb 16, 2022 to Feb 23, 2023
Pension RAUM · $55.1M to $47.1M
Feb 16, 2022 to Feb 23, 2023
Pooled vehicle RAUM · $791M to $503M
Feb 16, 2022 to Feb 23, 2023
RAUM · $1.1B to $719M
Feb 16, 2022 to Feb 23, 2023
Discretionary RAUM · $1.1B to $1.1B
Feb 25, 2021 to Feb 16, 2022
Pension RAUM · $55.3M to $55.1M
Feb 25, 2021 to Feb 16, 2022
Pooled vehicle RAUM · $880M to $791M
Feb 25, 2021 to Feb 16, 2022
RAUM · $1.1B to $1.1B
Feb 25, 2021 to Feb 16, 2022
Discretionary RAUM · $1.0B to $1.1B
Feb 26, 2020 to Feb 24, 2021
Pension RAUM · $50.0M to $55.3M
Feb 26, 2020 to Feb 24, 2021
Pooled vehicle RAUM · $775M to $880M
Feb 26, 2020 to Feb 24, 2021
RAUM · $1.0B to $1.1B
Feb 26, 2020 to Feb 24, 2021
Accounts · 9 to 10
Feb 25, 2019 to Feb 26, 2020
Advisory employees · 7 to 8
Feb 25, 2019 to Feb 26, 2020
Pension plan clients · 1 to 2
Feb 25, 2019 to Feb 26, 2020
Employees · 14 to 18
Feb 25, 2019 to Feb 26, 2020
Discretionary RAUM · $782M to $1.0B
Feb 25, 2019 to Feb 26, 2020
Pension RAUM · $17.1M to $50.0M
Feb 25, 2019 to Feb 26, 2020
Pooled vehicle RAUM · $606M to $775M
Feb 25, 2019 to Feb 26, 2020
RAUM · $782M to $1.0B
Feb 25, 2019 to Feb 26, 2020
Advisory employees · 6 to 7
Feb 27, 2018 to Feb 25, 2019
Employees · 11 to 14
Feb 27, 2018 to Feb 25, 2019
Discretionary RAUM · $582M to $782M
Feb 27, 2018 to Feb 25, 2019
Pension RAUM · $16.0M to $17.1M
Feb 27, 2018 to Feb 25, 2019
Pooled vehicle RAUM · $387M to $606M
Feb 27, 2018 to Feb 25, 2019
RAUM · $582M to $782M
Feb 27, 2018 to Feb 25, 2019
Accounts · 11 to 9
Feb 27, 2017 to Feb 22, 2018
Charity clients · unset to 1.0
Feb 27, 2017 to Feb 22, 2018
Corporate clients · unset to 5.0
Feb 27, 2017 to Feb 22, 2018
Pension plan clients · unset to 1.0
Feb 27, 2017 to Feb 22, 2018
Pooled vehicle clients · unset to 1.0
Feb 27, 2017 to Feb 22, 2018
Assets in custody · 0.0 to unset
Feb 27, 2017 to Feb 22, 2018
HQ city · MINATO-KU to TOKYO
Feb 27, 2017 to Feb 22, 2018
Other offices · unset to 0.0
Feb 27, 2017 to Feb 22, 2018
Discretionary RAUM · $447M to $582M
Feb 27, 2017 to Feb 22, 2018
Pension RAUM · unset to 16000000.0
Feb 27, 2017 to Feb 22, 2018
Pooled vehicle RAUM · unset to 387000000.0
Feb 27, 2017 to Feb 22, 2018
RAUM · $447M to $582M
Feb 27, 2017 to Feb 22, 2018
Accounts · unset to 11.0
Feb 1, 2016 to Feb 27, 2017
Employees · 8 to 11
Feb 1, 2016 to Feb 27, 2017
Private funds · unset to 1
Feb 1, 2016 to Feb 27, 2017
Discretionary RAUM · unset to 446700000.0
Feb 1, 2016 to Feb 27, 2017
Non-discretionary RAUM · unset to 0.0
Feb 1, 2016 to Feb 27, 2017
RAUM · unset to 446700000.0
Feb 1, 2016 to Feb 27, 2017

Signals

23 dated events

••• Locked
Aug 19, 2026 · ria principal change · derived
••• Locked
Aug 19, 2026 · ria principal change · derived
••• Locked
Aug 19, 2026 · ria majority owner change · derived
••• Locked
Aug 19, 2026 · ria ownership band change · fact
••• Locked
Aug 19, 2026 · Control person left · inference

Full timeline · 23 events

••• Locked
Aug 19, 2026 · Control person left · inference
••• Locked
Aug 19, 2026 · Control person left · inference
••• Locked
Feb 16, 2026 · RAUM change · derived
••• Locked
Feb 23, 2023 · Control person joined · fact
••• Locked
Feb 23, 2023 · Control person left · inference
••• Locked
Feb 23, 2023 · RAUM change · derived
••• Locked
Feb 24, 2021 · Control person joined · fact
••• Locked
Feb 24, 2021 · Control person left · inference
••• Locked
Feb 26, 2020 · Control person joined · fact
••• Locked
Feb 26, 2020 · Control person left · inference
••• Locked
Feb 26, 2020 · RAUM change · derived
••• Locked
Feb 25, 2019 · Control person left · inference
••• Locked
Feb 25, 2019 · RAUM change · derived
••• Locked
Feb 25, 2019 · Control person left · inference
••• Locked
Feb 25, 2019 · Control person joined · fact
••• Locked
Feb 25, 2019 · Control person joined · fact
••• Locked
Feb 22, 2018 · RAUM change · derived
••• Locked
Jan 19, 2016 · First SEC registration · 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: ••• Lockedreportedpublic record, Form ADV, Feb 13, 2024

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.