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
Amova Asset Management Americas, Inc.
Latest filing Jun 26, 2026
First filing on the tape Mar 27, 2012 · 51 filings
SEC status approved since May 22, 2002
RAUM
$7.8B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.8B
derived; firm RAUM over IAPD count
Employees
27
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$7.8B as of Jun 26, 2026
Jun 26, 2012$7.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jun 26, 2026
Jun 21, 20131 then
Employees (5.A)27 as of Jun 26, 2026
Jun 21, 201325 then
Private funds1 as of Sep 9, 2025
Jun 29, 20161 then
RAUM -21% over the last fiscal year-30% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $7.8BderivedRAUM 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
- $432MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 27.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$7.6B97%
- State and municipal entities$189M2.4%
- Investment companies$15.4M0.2%
- Corporations and businesses$1.0M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 18reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 related_bd=true related_bank=true bd_reps=4.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Andrew J Thaler | New York, Ny | Jul 31, 2019 | 16 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Fred Deserio to Columbia Management Investment Advisers, LLCMar 15, 2022 · Other
Joined, latest
- Andrew J Thaler from Morgan StanleyJul 31, 2019 · Other
- Fred Deserio from Invesco Advisers, Inc.Dec 9, 2015 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| International Select Equity Fund, LLC | Other Private Fund | $13.2M | 1 | Jun 29, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Edward Peter Graf · Chief Investment Officercontrolsince 04/2022 · owns less than 5%
- Satoshi Suto · Chief Operating Officercontrolsince 04/2022 · owns less than 5%
- Mark Beyer James Wesley · Director, President, Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- Lamont Gary Beckham · Chief Compliance Officersince 01/2015 · owns less than 5%
- S Kenneth Cook · Directorsince 08/2020 · owns less than 5%
- Stuart Anthony Glover · Directorsince 05/2023 · owns less than 5%
- Yutaka Nishida · Directorsince 05/2023 · owns less than 5%
- Harry Marc Steglitz · Directorsince 11/2007 · owns less than 5%
Entity owners
- Nikko Am Americas Holding Co., Inc. · Shareholderdirect · owns 75% or more
- Nikko Asset Management Co Ltd · Shareholderindirect · owns 75% or more of Nikko Am Americas Holding Co.
- Sumitomo Mitsui Trust Group, Inc. · Shareholderindirect · owns 75% or more of Nikko Asset Management Co Ltd
Related persons
Schedule D 7.A
- Custody Bank Of Japan, Ltd.n
- Nikko Am Global Cayman Limitedinvestment adviserpooled vehicle sponsorn
- Amova Asset Management Asia Limitedinvestment advisernRAUM $14B
- Amova Asset Management Co.,Ltd.investment adviserbankyRAUM $247B
- Amova Asset Management Uk Limitedinvestment advisernRAUM $19B
- Nikko Asset Management Hong Kong Limitedinvestment advisernRAUM $35.5M
- Nikko Asset Management Luxembourg S.A.pooled vehicle sponsorn
- Nikko Asset Management New Zealand Limitedinvestment advisern
- Nippon Institutional Securities Co., Ltd.broker-dealern
- Rongtong Fund Management Co., Ltd.investment advisern
- Rongtong Global Investment Limitedinvestment advisern
- Sbi Sumishin Net Bank, Ltd.n
- Shen Zhen Rongtong Capital Management Co., Ltdinvestment advisern
- Sumitomo Mitsui Trust Asset Management Co., Ltd.investment adviserbankn
- Sumitomo Mitsui Trust Bank (Luxembourg) S.A.custodiann
- Sumitomo Mitsui Trust Bank (U.S.A.) Limitedinvestment advisercustodiann
- Sumitomo Mitsui Trust Bank, Limitedinvestment adviserinvestment companypooled vehicle sponsorLP sponsorcustodiann
Advisers that list Amova Asset Management Americas, 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
- business activity changedChange between filings · filing Jun 26, 2026advises private funds (Item 7.B): yes on the filing of 2025-09-09, no on the filing of 2026-06-26peers: asset managers, $5B to $20B (684)
What changed
consecutive filings, newest first
- Advisory employees · 9 to 11Sep 9, 2025 to Jun 26, 2026
- Advisory activities · 4 to 5Sep 9, 2025 to Jun 26, 2026
- Corporate clients · 0 to 1Sep 9, 2025 to Jun 26, 2026
- Pooled vehicle clients · 6 to 5Sep 9, 2025 to Jun 26, 2026
- Employees · 28 to 27Sep 9, 2025 to Jun 26, 2026
- Private funds · 1 to unsetSep 9, 2025 to Jun 26, 2026
- Discretionary RAUM · $9.0B to $7.7BSep 9, 2025 to Jun 26, 2026
- Non-discretionary RAUM · $87.4M to $121MSep 9, 2025 to Jun 26, 2026
- Pooled vehicle RAUM · $8.8B to $7.6BSep 9, 2025 to Jun 26, 2026
- RAUM · $9.0B to $7.8BSep 9, 2025 to Jun 26, 2026
- Business name · NIKKO ASSET MANAGEMENT AMERICAS, INC. to AMOVA ASSET MANAGEMENT AMERICAS, INC.Jun 27, 2025 to Sep 9, 2025
- Legal name · NIKKO ASSET MANAGEMENT AMERICAS, INC. to AMOVA ASSET MANAGEMENT AMERICAS, INC.Jun 27, 2025 to Sep 9, 2025
- Accounts · 21 to 18Oct 3, 2024 to Jun 27, 2025
- Advisory employees · 10 to 9Oct 3, 2024 to Jun 27, 2025
- Employees · 32 to 28Oct 3, 2024 to Jun 27, 2025
- Financial planning clients · unset to Oct 3, 2024 to Jun 27, 2025
- Discretionary RAUM · $11B to $9.0BOct 3, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $114M to $87.4MOct 3, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $11B to $8.8BOct 3, 2024 to Jun 27, 2025
- RAUM · $11B to $9.0BOct 3, 2024 to Jun 27, 2025
- Accounts · 27 to 21May 7, 2024 to Jun 26, 2024
- Advisory employees · 11 to 10May 7, 2024 to Jun 26, 2024
- BD registered reps · 3 to 4May 7, 2024 to Jun 26, 2024
- Discretionary RAUM · $9.8B to $11BMay 7, 2024 to Jun 26, 2024
- Non-discretionary RAUM · $106M to $114MMay 7, 2024 to Jun 26, 2024
- Pooled vehicle RAUM · $9.7B to $11BMay 7, 2024 to Jun 26, 2024
- RAUM · $9.9B to $11BMay 7, 2024 to Jun 26, 2024
- Accounts · 24 to 27Dec 14, 2022 to Jun 27, 2023
- Advisory employees · 9 to 11Dec 14, 2022 to Jun 27, 2023
- BD registered reps · 2 to 3Dec 14, 2022 to Jun 27, 2023
- Pooled vehicle clients · 5 to 6Dec 14, 2022 to Jun 27, 2023
- Employees · 29 to 32Dec 14, 2022 to Jun 27, 2023
- Discretionary RAUM · $16B to $9.8BDec 14, 2022 to Jun 27, 2023
- Non-discretionary RAUM · $89.6M to $106MDec 14, 2022 to Jun 27, 2023
- Pooled vehicle RAUM · $15B to $9.7BDec 14, 2022 to Jun 27, 2023
- RAUM · $16B to $9.9BDec 14, 2022 to Jun 27, 2023
- Accounts · 21 to 24Apr 26, 2022 to Jun 28, 2022
- BD registered reps · 4 to 2Apr 26, 2022 to Jun 28, 2022
- Corporate clients · 1 to 0Apr 26, 2022 to Jun 28, 2022
- Pooled vehicle clients · 6 to 5Apr 26, 2022 to Jun 28, 2022
Signals
12 dated events
- Stephen Lawrence Prager (Director) no longer on Schedule A of Amova Asset Management Americas, Inc. (listed 2024-01-02, absent 2024-04-02)Apr 2, 2024 · Control person left · inference
- Mark Beyer James Wesley (Director, President, Chief Executive Officer) appeared on Schedule A of Amova Asset Management Americas, Inc.Jan 2, 2024 · Control person joined · fact
- Amova Asset Management Americas, Inc. reported RAUM $9.9B, down 37% from $15.6B (2022-12-14 to 2023-06-27)Jun 27, 2023 · RAUM change · derived
- Amova Asset Management Americas, Inc. reported RAUM $15.6B, down 32% from $23.1B (2022-04-26 to 2022-06-28)Jun 28, 2022 · RAUM change · derived
- Satoshi Suto (Chief Operating Officer) appeared on Schedule A of Amova Asset Management Americas, Inc.Apr 26, 2022 · Control person joined · fact
- Edward Peter Graf (Chief Investment Officer) appeared on Schedule A of Amova Asset Management Americas, Inc.Apr 26, 2022 · Control person joined · fact
- Fred Deserio left Amova Asset Management Americas, Inc. for Columbia Management Investment Advisers, Llc (registered 2024-09-30)Mar 15, 2022 · Advisor changed firm · fact
- Fred Deserio (Director, Vice President, Senior Managing Director) no longer on Schedule A of Amova Asset Management Americas, Inc. (listed 2021-06-25, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- Amova Asset Management Americas, Inc. reported RAUM $23.1B, up 260% from $6.4B (2021-04-20 to 2021-06-25)Jun 25, 2021 · RAUM change · derived
- Amova Asset Management Americas, Inc. reported RAUM $6.4B, up 26% from $5.1B (2020-02-03 to 2020-06-25)Jun 25, 2020 · RAUM change · derived
- Amova Asset Management Americas, Inc. reported RAUM $5.1B, up 39% from $3.7B (2019-02-28 to 2019-06-28)Jun 28, 2019 · RAUM change · derived
- Amova Asset Management Americas, Inc. reported RAUM $3.7B, up 58% from $2.3B (2018-01-23 to 2018-06-28)Jun 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Amova Asset Management Americas, Inc. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- US.AMOVA-AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-610-6100reportedpublic record, Form ADV, Jun 26, 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
- $7.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026