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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
S••••••• I••••••••• M••••••••• •••••• L••••••
Latest filing May 11, 2026
First filing on the tape Dec 17, 2019 · 12 filings
SEC status approved since Feb 12, 2020
RAUM
$11B
reported, Item 5.F
Discretionary
97%
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
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$11B as of May 11, 2026
Jan 21, 2021$26B then
HNW client RAUM$0 as of May 11, 2026
Jan 21, 2021$0 then
State-registered IARs (5.B.3)0 as of May 11, 2026
Jan 21, 20210 then
Employees (5.A)81 as of May 11, 2026
Jan 21, 202198 then
Private funds: no history
RAUM +4.6% over the last fiscal year-8.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 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
- $110MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 23%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
- +4.6%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
- Corporations and businesses$4.9B45%
- Pooled investment vehicles$3.5B32%
- State and municipal entities$1.9B18%
- Pension and profit-sharing plans$626M5.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 16reported
- Charitable clients
- 0reported
- Accounts
- 100reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.32 institutional_share=0.23 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
- K•••••• N•••••• · President, Chief Executive Officercontrolsince 05/2020 · owns less than 5%
- D•••••• C••••••••• J•••• · Direcotor, Member Of The Boardsince 03/2023 · owns less than 5%
- N•••••• S••••••• · Chief Compliance Officer For J••••since 11/2019 · owns less than 5%
- S••••••• S••••• · Cheif Administrative Officer, Director, Member Of The Boardsince 10/2019 · owns less than 5%
- T•••••• K••••••• · Head Of J••••Ese Equities, Direcotor, Member Of The Boardsince 09/2023 · owns less than 5%
Entity owners
- S••••••• I••••••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- S••••••• A••••••••• L•••••• · Shareholderindirect · owns 75% or more of S••••••• I••••••••• H••••••• L••••••
- S•••••••• P•• · Shareholderindirect · owns 75% or more of S••••••• A••••••••• L••••••
Related persons
Schedule D 7.A
- S••••••• F••• A••••••• L••broker-dealerpooled vehicle sponsorn
- S••••••• I••••••••• M••••••••• ••••••• S•••investment advisern
- S••••••• I••••••••• M••••••••• ••••••••• L••investment advisern
- S••••••• I••••••••• M••••••••• ••••••••• A•investment advisern
- S••••••• I••••••••• M••••••••• A•••••••• L•••investment advisern
- S••••••• I••••••••• M••••••••• H••• K••• L•••investment advisern
- S••••••• I••••••••• M••••••••• L•••investment advisern
- S••••••• I••••••••• M••••••••• N•••• A•••••• I••investment adviserbanknRAUM $150B
- S••••••• I••••••••• M••••••••• N•••• A•••••• L••investment adviserbanknRAUM $83B
- S•••••••• C•••••• M••••••••• ••• I•••investment advisernRAUM $35B
Advisers that list S••••••• I••••••••• M••••••••• •••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 122 to 100Jun 3, 2025 to Mar 2, 2026
- Advisory employees · 18 to 17Jun 3, 2025 to Mar 2, 2026
- Corporate clients · 21 to 20Jun 3, 2025 to Mar 2, 2026
- Pension plan clients · 21 to 16Jun 3, 2025 to Mar 2, 2026
- Pooled vehicle clients · 73 to 57Jun 3, 2025 to Mar 2, 2026
- Employees · 88 to 81Jun 3, 2025 to Mar 2, 2026
- Discretionary RAUM · $9.7B to $11BJun 3, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $786M to $318MJun 3, 2025 to Mar 2, 2026
- Pension RAUM · $834M to $626MJun 3, 2025 to Mar 2, 2026
- Pooled vehicle RAUM · $3.5B to $3.5BJun 3, 2025 to Mar 2, 2026
- RAUM · $11B to $11BJun 3, 2025 to Mar 2, 2026
- Financial planning clients · 0 to 0Apr 1, 2025 to Jun 3, 2025
- Accounts · 130 to 122Mar 21, 2024 to Feb 17, 2025
- Advisory employees · 19 to 18Mar 21, 2024 to Feb 17, 2025
- Corporate clients · 23 to 21Mar 21, 2024 to Feb 17, 2025
- Pension plan clients · 25 to 21Mar 21, 2024 to Feb 17, 2025
- Pooled vehicle clients · 75 to 73Mar 21, 2024 to Feb 17, 2025
- Employees · 96 to 88Mar 21, 2024 to Feb 17, 2025
- HQ state · unset to Mar 21, 2024 to Feb 17, 2025
- Discretionary RAUM · $13B to $9.7BMar 21, 2024 to Feb 17, 2025
- Non-discretionary RAUM · $1.0B to $786MMar 21, 2024 to Feb 17, 2025
- Pension RAUM · $901M to $834MMar 21, 2024 to Feb 17, 2025
- Pooled vehicle RAUM · $3.8B to $3.5BMar 21, 2024 to Feb 17, 2025
- RAUM · $14B to $11BMar 21, 2024 to Feb 17, 2025
- Accounts · 126 to 130Mar 7, 2023 to Mar 21, 2024
- Advisory employees · 21 to 19Mar 7, 2023 to Mar 21, 2024
- Corporate clients · 25 to 23Mar 7, 2023 to Mar 21, 2024
- Pension plan clients · 28 to 25Mar 7, 2023 to Mar 21, 2024
- Pooled vehicle clients · 67 to 75Mar 7, 2023 to Mar 21, 2024
- Employees · 102 to 96Mar 7, 2023 to Mar 21, 2024
- Discretionary RAUM · $12B to $13BMar 7, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $3.1B to $1.0BMar 7, 2023 to Mar 21, 2024
- Pension RAUM · $1.0B to $901MMar 7, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $5.8B to $3.8BMar 7, 2023 to Mar 21, 2024
- RAUM · $15B to $14BMar 7, 2023 to Mar 21, 2024
- Accounts · 121 to 126Jan 24, 2022 to Mar 7, 2023
- Corporate clients · 17 to 25Jan 24, 2022 to Mar 7, 2023
- Pension plan clients · 29 to 28Jan 24, 2022 to Mar 7, 2023
- Employees · 97 to 102Jan 24, 2022 to Mar 7, 2023
- Discretionary RAUM · $19B to $12BJan 24, 2022 to Mar 7, 2023
Signals
4 dated events
- S••••••• I••••••••• M••••••••• •••••• L•••••• reported RAUM $14.6B, down 36% from $22.6B (2022-01-24 to 2023-03-07)Mar 7, 2023 · RAUM change · derived
- N•••••• K••••• (President, Chief Executive Officer) appeared on Schedule A of S••••••• I••••••••• M••••••••• •••••• L••••••Jan 21, 2021 · Control person joined · fact
- Shigesuke Kashiwagi (Ceo, Representative Director) no longer on Schedule A of S••••••• I••••••••• M••••••••• •••••• L•••••• (listed 2020-02-05, absent 2021-01-21)Jan 21, 2021 · Control person left · inference
- S••••••• I••••••••• M••••••••• •••••• L•••••• filed its initial SEC registration (Form ADV)Dec 17, 2019 · 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
- Website
- schroders.com/ja-jp/jp/intermediaryreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 81-3-5293-1500reportedpublic record, Form ADV, May 11, 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