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 Securities International, Inc.

No RAUM reportedNew York, New YorkCRD 4297SEC 801-72991websiteIAPD
Latest filing Aug 6, 2026
First filing on the tape Dec 19, 2011 · 48 filings
SEC status approved since Apr 3, 2012
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$0 as of Aug 6, 2026
Apr 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 6, 2026
Jun 28, 20120 then
Employees (5.A)14 as of Aug 6, 2026
Jun 28, 2013131 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 6, 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
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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
publications, 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
  • is a broker-dealer (6.A.1)
  • 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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=14.0derived
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
      • Steven Nicholas Aloupis · Co-Chief Executive Officer, Board Of Directors & Managing Directorcontrol
        since 04/2021 · owns less than 5%
      • Eugene James Chiulli · Chief Financial Officer & Managing Directorcontrol
        since 04/2019 · owns less than 5%
      • Gregory James Dumark · Chief Compliance Officer And Managing Directorcontrol
        since 07/2022 · owns less than 5%
      • James Christopher Giancarlo · Board Of Directorscontrol
        since 06/2021 · owns less than 5%
      • William Francis Jr Hughes · Chief Operations Officer & Managing Directorcontrol
        since 09/2018 · owns less than 5%
      • Satoshi Kawamura · Ceo, President, Senior Managing Director & Board Of Directorscontrol
        since 11/2021 · owns less than 5%
      • Vincent Anthony Primiano · Co-Chief Executive Officer & Managing Directorcontrol
        since 10/2022 · owns less than 5%
      • Laura Simone Unger · Board Of Directorscontrol
        since 01/2015 · owns less than 5%
      • Faron Ross Webb · Chief Legal Officer, General Counsel, Secretary & Managing Directorcontrol
        since 07/2022 · owns less than 5%
      Entity owners
      • Nomura Holding America, Inc. · Shareholder
        direct · owns 75% or more
      • Nomura Holding, Inc. · Parent
        indirect · owns 75% or more of Nomura Holding America, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list Nomura Securities International, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • unusual affiliate densityStatic outlier · filing Aug 6, 2026
        distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (176 comparable advisers, 98.0th percentile, 5.4 robust deviations)
        peers: other advisers, under $100M (176) · 98% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 14
        Jul 14, 2025 to Jun 26, 2026
      • BD registered reps · 11 to 14
        Jul 14, 2025 to Jun 26, 2026
      • Employees · 11 to 14
        Jul 14, 2025 to Jun 26, 2026
      • Financial planning clients · 0 to 0
        Jun 9, 2025 to Jul 14, 2025
      • Advisory employees · 13 to 11
        Apr 28, 2025 to Jun 9, 2025
      • BD registered reps · 13 to 11
        Apr 28, 2025 to Jun 9, 2025
      • Employees · 13 to 11
        Apr 28, 2025 to Jun 9, 2025
      • Accounts · unset to 0.0
        Oct 30, 2024 to Apr 28, 2025
      • Discretionary RAUM · unset to 0.0
        Oct 30, 2024 to Apr 28, 2025
      • Non-discretionary RAUM · unset to 0.0
        Oct 30, 2024 to Apr 28, 2025
      • RAUM · unset to 0.0
        Oct 30, 2024 to Apr 28, 2025
      • Advisory employees · 14 to 13
        Mar 13, 2024 to Jun 25, 2024
      • BD registered reps · 14 to 13
        Mar 13, 2024 to Jun 25, 2024
      • Employees · 14 to 13
        Mar 13, 2024 to Jun 25, 2024
      • Advisory employees · 13 to 14
        Dec 22, 2022 to Jun 26, 2023
      • BD registered reps · 13 to 14
        Dec 22, 2022 to Jun 26, 2023
      • Employees · 13 to 14
        Dec 22, 2022 to Jun 26, 2023
      • Advisory employees · 12 to 13
        Nov 9, 2021 to May 25, 2022
      • BD registered reps · 12 to 13
        Nov 9, 2021 to May 25, 2022
      • Individual clients · 1 to 0
        Nov 9, 2021 to May 25, 2022
      • Employees · 12 to 13
        Nov 9, 2021 to May 25, 2022
      • Advisory employees · 15 to 12
        Apr 29, 2021 to May 28, 2021
      • BD registered reps · 15 to 12
        Apr 29, 2021 to May 28, 2021
      • Corporate clients · unset to 0.0
        Apr 29, 2021 to May 28, 2021
      • Individual clients · 0 to 1
        Apr 29, 2021 to May 28, 2021
      • Pension plan clients · unset to 0.0
        Apr 29, 2021 to May 28, 2021
      • Employees · 15 to 12
        Apr 29, 2021 to May 28, 2021
      • Advisory employees · 16 to 15
        Apr 17, 2019 to Jun 26, 2019
      • BD registered reps · 16 to 15
        Apr 17, 2019 to Jun 26, 2019
      • Employees · 16 to 15
        Apr 17, 2019 to Jun 26, 2019
      • Advisory employees · 14 to 16
        Jun 28, 2017 to Jun 28, 2018
      • BD registered reps · 14 to 16
        Jun 28, 2017 to Jun 28, 2018
      • Charity clients · unset to 0.0
        Jun 28, 2017 to Jun 28, 2018
      • HNW clients · unset to 0.0
        Jun 28, 2017 to Jun 28, 2018
      • Individual clients · unset to 0.0
        Jun 28, 2017 to Jun 28, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 28, 2017 to Jun 28, 2018
      • Employees · 14 to 16
        Jun 28, 2017 to Jun 28, 2018
      • Other offices · unset to 0.0
        Jun 28, 2017 to Jun 28, 2018
      • Advisory employees · 116 to 14
        Mar 7, 2017 to Jun 28, 2017
      • BD registered reps · 94 to 14
        Mar 7, 2017 to Jun 28, 2017
      Signals
      20 dated events
      • Christopher Paul Willcox (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2022-05-25, absent 2022-12-22)
        Dec 22, 2022 · Control person left · inference
      • Gregory James Dumark (Chief Compliance Officer And Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Dec 22, 2022 · Control person joined · fact
      • Vincent Anthony Primiano (Co-Chief Executive Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Dec 22, 2022 · Control person joined · fact
      • Christopher Paul Willcox (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        May 25, 2022 · Control person joined · fact
      • James Christopher Giancarlo (Board Of Directors) appeared on Schedule A of Nomura Securities International, Inc.
        May 25, 2022 · Control person joined · fact
      • Satoshi Kawamura (Board Of Directors) appeared on Schedule A of Nomura Securities International, Inc.
        May 25, 2022 · Control person joined · fact
      • Yo Akatsuka (Chief Executive Officer, President, Chairman & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2021-11-09, absent 2022-05-25)
        May 25, 2022 · Control person left · inference
      • James Anthony Denaut (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2020-06-29, absent 2021-04-29)
        Apr 29, 2021 · Control person left · inference
      • David Alan Leibowitz (Board Of Directors) no longer on Schedule A of Nomura Securities International, Inc. (listed 2020-06-29, absent 2021-04-29)
        Apr 29, 2021 · Control person left · inference
      • Tsutomu Takemura (Board Of Directors) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-06-26, absent 2020-06-24)
        Jun 24, 2020 · Control person left · inference
      • David Mair Findlay (Chairman) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-06-26, absent 2020-06-24)
        Jun 24, 2020 · Control person left · inference
      • Yo Akatsuka (Chairman) appeared on Schedule A of Nomura Securities International, Inc.
        Jun 24, 2020 · Control person joined · fact
      • David Scott Moser (Chief Financial Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-15, absent 2019-04-17)
        Apr 17, 2019 · Control person left · inference
      • Eugene James Chiulli (Chief Financial Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Apr 17, 2019 · Control person joined · fact
      • James Anthony Denaut (Chief Executive Officer, President, Board Of Directors & Senior Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Apr 17, 2019 · Control person joined · fact
      • David Scott Moser (Chief Financial Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Jan 15, 2019 · Control person joined · fact
      • Christopher Stephen Vickery (Chief Operations Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-09, absent 2019-01-15)
        Jan 15, 2019 · Control person left · inference
      • Steven Nicholas Aloupis (Chief Operating Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Jan 15, 2019 · Control person joined · fact
      • William Francis Jr Hughes (Chief Operations Officer & Managing Director) appeared on Schedule A of Nomura Securities International, Inc.
        Jan 15, 2019 · Control person joined · fact
      • Erik Robert Addington (Chief Financial Officer & Managing Director) no longer on Schedule A of Nomura Securities International, Inc. (listed 2019-01-09, absent 2019-01-15)
        Jan 15, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Firm profile
      linkedin.com/company/nomurareportedpublic record, Form ADV, Sep 18, 2026
      Website
      NOMURA.COMreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      212-667-9000reportedpublic record, Form ADV, Aug 6, 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
      No RAUM reportedderiveda 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