NIKKO ASSET MANAGEMENT AMERICAS, INC.

Latest filing: Oct 03, 2024 (198 days ago)
View on IAPD
Adviser Website

AUM

$11,105,261,832
12% change vs. 1 year ago
-52% change vs. 3 years ago
117% change vs. 5 years ago
191% change vs. 10 years ago

Employee Count

32
0% change vs. 1 year ago
7% change vs. 3 years ago
10% change vs. 5 years ago
28% change vs. 10 years ago

Main Office

NEW YORK, NY
605 THIRD AVENUE, NEW YORK, NY, UNITED STATES, 10158

Client AUM

Discretion AUM
Discretionary $11.0
Non-Discretionary $0.1
Total $11.1
Client AUM
Retail $0.0
Pooled $11.0
Institutional $0.1
Total $11.1
Retail Accounts AUM
Individual 0 $0.0
Average Individual AUM $0
HNW 0 $0.0
Average HNW AUM $0
Retail Total 0 $0.0
Average Retail AUM $0

ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV

SMA Custodians

Custodian Location AUM
THE NORTHERN TRUST COMPANY CHICAGO-IL-USA $0.1

ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV

Separately Managed Assets

Breakdown AUM
Total SMA AUM $0.1
Retail SMA AUM $0.0
Institutional SMA AUM $0.1
Asset Class % AUM
Equity Exch 98% $0.1
Equity Non-Exch 0% $0.0
Govt Agency 0% $0.0
Municipal 0% $0.0
Sovereign 0% $0.0
IG Credit 0% $0.0
HY Credit 0% $0.0
Derivatives 0% $0.0
Investment Companies 0% $0.0
Other Pools 0% $0.0
Cash 2% $0.0
Other 0% $0.0
Total 100% $0.1

ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV

Affiliates

Affiliates AUM Business Types CRD Number
NIKKO ASSET MANAGEMENT CO LTD $222.5 110997
NIKKO ASSET MANAGEMENT EUROPE LTD $17.5 111038
NIKKO ASSET MANAGEMENT ASIA LIMITED $10.5 161589
NIKKO ASSET MANAGEMENT HONG KONG LIMITED $0.0 161467
SUMITOMO MITSUI TRUST BANK, LIMITED $0.0 trust company -
NIPPON INSTITUTIONAL SECURITIES CO., LTD. $0.0 broker-dealer -
SBI SUMISHIN NET BANK, LTD. $0.0 -
NIKKO ASSET MANAGEMENT NEW ZEALAND LIMITED $0.0 -
NIKKO ASSET MANAGEMENT LUXEMBOURG S.A. $0.0 -
SUMITOMO MITSUI TRUST BANK (U.S.A.) LIMITED $0.0 trust company -
CUSTODY BANK OF JAPAN, LTD. $0.0 trust company -
RONGTONG FUND MANAGEMENT CO., LTD. $0.0 -
SHEN ZHEN RONGTONG CAPITAL MANAGEMENT CO., LTD $0.0 -
SUMITOMO MITSUI TRUST BANK (LUXEMBOURG) S.A. $0.0 trust company -
RONGTONG GLOBAL INVESTMENT LIMITED $0.0 -
SUMITOMO MITSUI TRUST ASSET MANAGEMENT CO., LTD. $0.0 300608
NIKKO AM GLOBAL CAYMAN LIMITED $0.0 -

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Control Persons

12 active

Name Title
STEGLITZ, MARC, HARRY DIRECTOR
PRAGER, LAWRENCE, STEPHEN DIRECTOR
BECKHAM, GARY, LAMONT CHIEF COMPLIANCE OFFICER
COOK, KENNETH, S DIRECTOR
GRAF, PETER, EDWARD CHIEF INVESTMENT OFFICER
SUTO, SATOSHI CHIEF OPERATING OFFICER
GLOVER, TONY DIRECTOR
NISHIDA, YUTAKA DIRECTOR
WESLEY, JAMES, MARK BEYER DIRECTOR, PRESIDENT, CHIEF EXECUTIVE OFFICER

ADVDB.CO • SOURCE: SEC

Representatives

1 active representative found

Name City State Exams Designations
ANDREW THALER NEW YORK NY S66|2009-10-21

ADVDB.CO • SOURCE: SEC

History

Date AUM AUM ∆ AUM % ∆ Empl Empl ∆ Empl % ∆
2025-03-06 $11.1 $0.0 0% 32 0 0%
2024-04-02 $9.9 $1.2 12% 32 0 0%
2023-04-04 $15.6 -$4.5 -29% 29 3 10%
2022-04-01 $23.1 -$12.0 -52% 30 2 7%
2021-04-05 $6.4 $4.7 73% 30 2 7%
2020-04-01 $5.1 $6.0 117% 29 3 10%
2019-04-01 $3.7 $7.4 202% 27 5 19%
2018-04-02 $2.3 $8.8 378% 33 -1 -3%
2017-04-01 $2.2 $8.9 401% 32 0 0%
2016-04-01 $5.3 $5.8 109% 31 1 3%
2015-04-01 $3.8 $7.3 191% 25 7 28%
2014-04-01 $6.0 $5.1 84% 25 7 28%
2013-04-01 $7.1 $4.0 56% 21 11 52%

ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV

Other

STATE REGISTRATIONS
NY, CA-12/09/2015, VA-12/09/2015, WY-01/31/2019
ADVISER ACTIVITIES
PORTFOLIO MANAGEMENT (RIC)
PORTFOLIO MANAGEMENT (POOLS)
PORTFOLIO MANAGEMENT (SMB)
MANAGER SELECTION
OTHER ACTIVITIES
COMMODITY TRADING ADVISOR

ADVDB.CO • SOURCE: SEC FORM ADV