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.
SEC-registered adviser
Nomura Capital Management LLC
Latest filing Jun 29, 2026
First filing on the tape Dec 14, 2022 · 12 filings
SEC status approved since Jan 11, 2023
RAUM
$651M
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
167
11 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
1
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$651M as of Jun 29, 2026
Jun 6, 2023$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)49 as of Jun 29, 2026
Jun 6, 20230 then
Employees (5.A)167 as of Jun 29, 2026
Jun 6, 202315 then
Private funds1 as of Jun 29, 2026
Jun 28, 20241 then
RAUM +55% over the last fiscal yearIARs 0 to 49offices 0 to 5
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $13.3MderivedRAUM 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
- $326MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.4derivedItem 5.A over advisors
- Advisors per office
- 8.2derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.7%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $141M, 1 clientsreportedItem 9.A
- 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$437M67%
- Pooled investment vehicles$215M33%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $141M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=97.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Nomura Credit Opportunities Fund, LP | Other Private Fund | $200M | 1 | Jun 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Nicholas Steven Aloupis · Managercontrolsince 06/2022 · owns less than 5%
- James Eugene Chiulli · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- Yoshihiro Namura · Managercontrolsince 10/2022 · owns less than 5%
- James Matthew Nelson · Chief Operating Officercontrolsince 10/2022 · owns less than 5%
- Gian Matthew Pallai · Chief Investment Officercontrolsince 10/2022 · owns less than 5%
- Nmn Robert Stark · Chief Executive Officercontrolsince 10/2022 · owns less than 5%
- Nelson Douglas Tyre · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- Nomura Holding America, Inc. · Ownerdirect · owns 75% or more
- Nomura Holdings, Inc. · Shareholderindirect · owns 75% or more of Nomura Holding America, Inc. · public reporting company
Related persons
Schedule D 7.A
- Instinet, LLCbroker-dealerinvestment advisern
- Nomura Asset Management U.S.A. Inc.investment adviserbanknRAUM $1.0B
- Nomura Corporate Research And Asset Management Incinvestment adviserbankpooled vehicle sponsornRAUM $38B
- Nomura Credit Opportunities Gp, LLCpooled vehicle sponsory
- Nomura Securities International, Inc.broker-dealerinvestment advisertrust companyn
Advisers that list Nomura Capital Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Jun 29, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (335 comparable advisers, 99.0th percentile, 5.4 robust deviations)peers: asset managers, $500M to $1B (335) · 99% percentile
- institutional asset share shiftChange between filings · filing Jan 20, 2026institutional share of RAUM moved from 26.0% to 0.0% between the annual amendments of 2025-01-07 and 2026-01-20peers: asset managers, $500M to $1B (783)
What changed
consecutive filings, newest first
- Advisory employees · 10 to 11Jan 20, 2026 to Jun 29, 2026
- BD registered reps · 13 to 97Jan 20, 2026 to Jun 29, 2026
- Assets in custody · $82.9M to $141MJan 20, 2026 to Jun 29, 2026
- Employees · 33 to 167Jan 20, 2026 to Jun 29, 2026
- Insurance-licensed employees · 0 to 49Jan 20, 2026 to Jun 29, 2026
- State-registered IARs · 0 to 49Jan 20, 2026 to Jun 29, 2026
- Other offices · 0 to 5Jan 20, 2026 to Jun 29, 2026
- Discretionary RAUM · $384M to $651MJan 20, 2026 to Jun 29, 2026
- Pooled vehicle RAUM · $208M to $215MJan 20, 2026 to Jun 29, 2026
- RAUM · $384M to $651MJan 20, 2026 to Jun 29, 2026
- Accounts · 3 to 2Jan 7, 2025 to Jun 27, 2025
- Advisory employees · 11 to 10Jan 7, 2025 to Jun 27, 2025
- BD registered reps · 12 to 13Jan 7, 2025 to Jun 27, 2025
- Corporate clients · 1.0 to unsetJan 7, 2025 to Jun 27, 2025
- Assets in custody · unset to 82889319.0Jan 7, 2025 to Jun 27, 2025
- Custody of client assets · false to trueJan 7, 2025 to Jun 27, 2025
- Employees · 36 to 33Jan 7, 2025 to Jun 27, 2025
- Financial planning clients · unset to Jan 7, 2025 to Jun 27, 2025
- Discretionary RAUM · $421M to $384MJan 7, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · $200M to $208MJan 7, 2025 to Jun 27, 2025
- RAUM · $421M to $384MJan 7, 2025 to Jun 27, 2025
- Accounts · 1 to 3Mar 12, 2024 to Jun 28, 2024
- Advisory employees · 5 to 11Mar 12, 2024 to Jun 28, 2024
- Advisory activities · 1 to 3Mar 12, 2024 to Jun 28, 2024
- BD registered reps · 3 to 12Mar 12, 2024 to Jun 28, 2024
- Business name · NOMURA PRIVATE CAPITAL LLC to NOMURA CAPITAL MANAGEMENT LLCMar 12, 2024 to Jun 28, 2024
- Corporate clients · unset to 1.0Mar 12, 2024 to Jun 28, 2024
- Pooled vehicle clients · unset to 1.0Mar 12, 2024 to Jun 28, 2024
- Employees · 15 to 36Mar 12, 2024 to Jun 28, 2024
- Legal name · NOMURA PRIVATE CAPITAL LLC to NOMURA CAPITAL MANAGEMENT LLCMar 12, 2024 to Jun 28, 2024
- Private funds · unset to 1Mar 12, 2024 to Jun 28, 2024
- Discretionary RAUM · $101M to $421MMar 12, 2024 to Jun 28, 2024
- Pooled vehicle RAUM · unset to 199928444.0Mar 12, 2024 to Jun 28, 2024
- RAUM · $101M to $421MMar 12, 2024 to Jun 28, 2024
- Related bank · false to trueMar 12, 2024 to Jun 28, 2024
- Accounts · 0 to 1Dec 14, 2022 to May 5, 2023
- Advisory employees · 4 to 5Dec 14, 2022 to May 5, 2023
- BD registered reps · 2 to 3Dec 14, 2022 to May 5, 2023
- Employees · 8 to 15Dec 14, 2022 to May 5, 2023
- Discretionary RAUM · $0 to $101MDec 14, 2022 to May 5, 2023
Signals
10 dated events
- Nomura Capital Management Llc reported 5 offices beyond its principal office, up from 0 (2026-01-20 to 2026-06-29)Jun 29, 2026 · Office count change · derived
- Nomura Capital Management Llc reported 49 state-registered advisory representatives, up from 0 (2026-01-20 to 2026-06-29)Jun 29, 2026 · Advisor headcount change · derived
- Nomura Capital Management Llc reported RAUM $651.3M, up 70% from $384.1M (2026-01-20 to 2026-06-29)Jun 29, 2026 · RAUM change · derived
- Nomura Capital Management Llc reported RAUM $420.8M, up 318% from $100.6M (2024-03-12 to 2024-06-28)Jun 28, 2024 · RAUM change · derived
- Nicholas Steven Aloupis (Manager) appeared on Schedule A of Nomura Capital Management LlcJun 28, 2024 · Control person joined · fact
- Yoshihiro Namura (Manager) appeared on Schedule A of Nomura Capital Management LlcJun 28, 2024 · Control person joined · fact
- James Eugene Chiulli (Chief Financial Officer) appeared on Schedule A of Nomura Capital Management LlcJun 28, 2024 · Control person joined · fact
- Bryan Michael Jones (Chief Compliance Officer) no longer on Schedule A of Nomura Capital Management Llc (listed 2023-10-06, absent 2023-10-27)Oct 27, 2023 · Control person left · inference
- Nelson Douglas Tyre (Chief Compliance Officer) appeared on Schedule A of Nomura Capital Management LlcOct 27, 2023 · Control person joined · fact
- Nomura Private Capital Llc filed its initial SEC registration (Form ADV)Dec 14, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Nomura Capital Management LLC · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/nomura-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- nomuracapitalmanagement.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-667-9996reportedpublic record, Form ADV, Jun 29, 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
- Asset manager (funds and pooled vehicles)deriveda 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