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SEC-registered adviser

F••••• L••• I••••••••• •••••••• I•••

Other adviserNew York, New YorkCRD 284662SEC 801-108845IAPD
Latest filing Apr 27, 2026
First filing on the tape Dec 13, 2016 · 23 filings
SEC status approved since Jan 3, 2017
RAUM
$328M
reported, Item 5.F
Discretionary
0.0%
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
6
5 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$328M as of Apr 27, 2026
Mar 7, 2018$317M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 27, 2026
Mar 7, 20180 then
Employees (5.A)6 as of Apr 27, 2026
Mar 7, 20185 then
Private funds: no history
RAUM +1.7% over the last fiscal year+4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 27, 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
$164MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
+1.7%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 assetsreportedItem 5.E
Advisory activities
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
  • buys or sells securities as principal to or from clients (8.A.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• A••••••• N•• · Presidentcontrol
        since 05/2023 · owns less than 5%
      • N•••• T•••••••• N•• · Chief Operating Officercontrol
        since 05/2023 · owns less than 5%
      • T•••••• T•••••• · Senior Vice Presidentcontrol
        since 06/2022 · owns less than 5%
      • X•• M•••• E• · Chief Investment Officercontrol
        since 01/2020 · owns less than 5%
      • S•••••• A•••• · Chief Compliance Officer
        since 12/2016 · owns less than 5%
      Entity owners
      • F••••• M••••• L••• I•••••••• C•••••• · Parent Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • F••••• M••••• L••• I•••••••• C••••••
        real estatey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Apr 27, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (212 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: other advisers, $100M to $500M (212) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Employees · 5 to 6
        Apr 22, 2025 to Feb 19, 2026
      • Non-discretionary RAUM · $322M to $328M
        Apr 22, 2025 to Feb 19, 2026
      • RAUM · $322M to $328M
        Apr 22, 2025 to Feb 19, 2026
      • Financial planning clients · 0 to 0
        Feb 19, 2025 to Apr 22, 2025
      • Financial planning clients · unset to 0
        Jul 19, 2024 to Feb 19, 2025
      • Non-discretionary RAUM · $307M to $322M
        Jul 19, 2024 to Feb 19, 2025
      • RAUM · $307M to $322M
        Jul 19, 2024 to Feb 19, 2025
      • Employees · 6 to 5
        May 16, 2023 to Mar 4, 2024
      • Non-discretionary RAUM · $287M to $307M
        May 16, 2023 to Mar 4, 2024
      • RAUM · $287M to $307M
        May 16, 2023 to Mar 4, 2024
      • Non-discretionary RAUM · $364M to $287M
        Jun 28, 2022 to Feb 14, 2023
      • RAUM · $364M to $287M
        Jun 28, 2022 to Feb 14, 2023
      • Advisory employees · 4 to 5
        Feb 1, 2022 to Jun 28, 2022
      • Employees · 5 to 6
        Feb 1, 2022 to Jun 28, 2022
      • Non-discretionary RAUM · $344M to $364M
        May 19, 2021 to Feb 1, 2022
      • RAUM · $344M to $364M
        May 19, 2021 to Feb 1, 2022
      • Non-discretionary RAUM · $314M to $344M
        Feb 6, 2020 to Feb 2, 2021
      • RAUM · $314M to $344M
        Feb 6, 2020 to Feb 2, 2021
      • Non-discretionary RAUM · $297M to $314M
        Jun 4, 2019 to Feb 6, 2020
      • RAUM · $297M to $314M
        Jun 4, 2019 to Feb 6, 2020
      • Non-discretionary RAUM · $317M to $297M
        Mar 7, 2018 to Jan 25, 2019
      • RAUM · $317M to $297M
        Mar 7, 2018 to Jan 25, 2019
      • Other offices · unset to 0.0
        Jun 1, 2017 to Mar 7, 2018
      • Non-discretionary RAUM · $304M to $317M
        Jun 1, 2017 to Mar 7, 2018
      • RAUM · $304M to $317M
        Jun 1, 2017 to Mar 7, 2018
      • Accounts · 1 to 2
        Jun 1, 2017 to Jun 1, 2017
      • Non-discretionary RAUM · $252M to $304M
        Jun 1, 2017 to Jun 1, 2017
      • RAUM · $252M to $304M
        Jun 1, 2017 to Jun 1, 2017
      • Accounts · 0 to 1
        Jan 4, 2017 to Mar 3, 2017
      • Non-discretionary RAUM · $0 to $252M
        Jan 4, 2017 to Mar 3, 2017
      • RAUM · $0 to $252M
        Jan 4, 2017 to Mar 3, 2017
      Signals
      9 dated events
      • Nmn Takuo Yamamoto (President/ Director) no longer on Schedule A of F••••• L••• I••••••••• •••••••• I••• (listed 2023-02-14, absent 2023-05-16)
        May 16, 2023 · Control person left · inference
      • Nmn Takanobu Naka (Chief Operating Officer) appeared on Schedule A of F••••• L••• I••••••••• •••••••• I•••
        May 16, 2023 · Control person joined · fact
      • Tetsuji Takano (Senior Vice President) appeared on Schedule A of F••••• L••• I••••••••• •••••••• I•••
        Jun 28, 2022 · Control person joined · fact
      • Nmn T••••••• H•••• (Chief Operating Officer) no longer on Schedule A of F••••• L••• I••••••••• •••••••• I••• (listed 2021-02-02, absent 2021-05-19)
        May 19, 2021 · Control person left · inference
      • Nmn A•••••• H•••••••• (Chief Operating Officer) appeared on Schedule A of F••••• L••• I••••••••• •••••••• I•••
        May 19, 2021 · Control person joined · fact
      • E Marc Xu (Chief Investment Officer) appeared on Schedule A of F••••• L••• I••••••••• •••••••• I•••
        Feb 6, 2020 · Control person joined · fact
      • Nmn Takuo Yamamoto (President / Chief Investment Officer / Director) appeared on Schedule A of F••••• L••• I••••••••• •••••••• I•••
        Jun 4, 2019 · Control person joined · fact
      • H•••• O••••• (President, Cio, Director) no longer on Schedule A of F••••• L••• I••••••••• •••••••• I••• (listed 2019-01-25, absent 2019-06-04)
        Jun 4, 2019 · Control person left · inference
      • F••••• L••• I••••••••• •••••••• I••• filed its initial SEC registration (Form ADV)
        Dec 13, 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
      212-221-7760reportedpublic record, Form ADV, Apr 27, 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
      Other 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