NIKKO ASSET MANAGEMENT CO LTD
Latest filing: Oct 07, 2024 (192 days ago)
AUM
$222,458,516,754
16% change vs. 1 year ago
-12% change vs. 3 years ago
13% change vs. 5 years ago
110% change vs. 10 years ago
Employee Count
600
0% change vs. 1 year ago
20% change vs. 3 years ago
12% change vs. 5 years ago
24% change vs. 10 years ago
Main Office
TOKYO,
MIDTOWN TOWER, 9-7-1 AKASAKA, TOKYO, , JAPAN, 107-6242
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $222.5 |
| Non-Discretionary | $0.0 |
| Total | $222.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $203.2 |
| Institutional | $19.2 |
| Total | $222.5 |
| 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 |
|---|---|---|
| SUMITOMO MITSUI TRUST BANK, LIMITED. | TOKYO--JPN | $3.8 |
| MITSUBISHI UFJ TRUST AND BANKING CORPORATION | TOKYO--JPN | $2.1 |
| MUFG BANK, LTD. | TOKYO--JPN | $2.0 |
| THE MASTER TRUST BANK OF JAPAN, LTD., | TOKYO--JPN | $1.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $19.2 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $19.2 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 61% | $11.7 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 2% | $0.4 |
| Municipal | 0% | $0.0 |
| Sovereign | 15% | $2.9 |
| IG Credit | 4% | $0.8 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 15% | $2.9 |
| Cash | 3% | $0.6 |
| Other | 0% | $0.0 |
| Total | 100% | $19.2 |
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 EUROPE LTD | $17.5 | 111038 | |
| NIKKO ASSET MANAGEMENT AMERICAS, INC. | $11.1 | 824 | |
| NIKKO ASSET MANAGEMENT ASIA LIMITED | $10.5 | 161589 | |
| NIKKO ASSET MANAGEMENT HONG KONG LIMITED | $0.0 | 161467 | |
| SBI SUMISHIN NET BANK, LTD. | $0.0 | - | |
| SHEN ZHEN RONGTONG CAPITAL MANAGEMENT CO., LTD. | $0.0 | - | |
| NIKKO AM GLOBAL CAYMAN LIMITED | $0.0 | - | |
| NIKKO ASSET MANAGEMENT NEW ZEALAND LIMITED | $0.0 | - | |
| SUMITOMO MITSUI TRUST BANK, LIMITED | $0.0 | trust company | - |
| SUMITOMO MITSUI TRUST BANK (LUXEMBOURG) S.A. | $0.0 | trust company | - |
| RONGTONG FUND MANAGEMENT CO., LTD. | $0.0 | - | |
| SUMITOMO MITSUI TRUST ASSET MANAGEMENT CO., LTD. | $0.0 | 300608 | |
| NIPPON INSTITUTIONAL SECURITIES CO., LTD. | $0.0 | broker-dealer | - |
| CUSTODY BANK OF JAPAN, LTD. | $0.0 | trust company | - |
| SUMITOMO MITSUI TRUST BANK (U.S.A.) LIMITED | $0.0 | trust company | - |
| RONGTONG GLOBAL INVESTMENT LIMITED | $0.0 | - | |
| NIKKO ASSET MANAGEMENT LUXEMBOURG S.A. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
20 active
| Name | Title |
|---|---|
| SIMES, NATHAN, PARKER | DIRECTOR |
| IWAMA, YOICHIRO | DIRECTOR |
| YAMAUCHI, MARI | DIRECTOR |
| RYU, KIYOTAKA | CHIEF ADMINISTRATIVE OFFICER |
| ASAI, KUNIHIRO | SENIOR CORPORATE OFFICER, CHIEF RISK OFFICER |
| DREWS, STEFANIE | REPRESENTATIVE DIRECTOR, PRESIDENT AND COO |
| TAGO, SHINYA | DIRECTOR |
| SOGABE, MIHOKO | DIRECTOR |
| NISHIDA, YUTAKA | REPRESENTATIVE DIRECTOR AND CHAIRMAN |
| OKUMURA, NATSUHIKO | DIRECTOR |
| WOHANKA, RICHARD, L | DIRECTOR |
| NISHIYAMA, JUN | CHIEF COMPLIANCE OFFICER OF INVESTMENT |
| YOKOYAMA, HIROSHI | SENIOR CORPORATE OFFICER |
| YASUNAGA, TETSUJI | SENIOR CORPORATE OFFICER |
| YOH, HIROSHI | EXECUTIVE CORPORATE OFFICER, CHEIF INVESTMENT OFFICER AND GLOBAL HEAD OF INVESTMENT |
| YAN, ALLEN | EXECUTIVE CORPORATE OFFICER, CHIEF FINANCIAL OFFICER |
| GLOVER, TONY | SENIOR CORPORATE OFFICER |
| MATSUI, MARIKO | CHIEF COMPLIANCE OFFICER, CHEIF LEGAL OFFICER |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-03-06 | $222.5 | $0.0 | 0% | 600 | 0 | 0% |
| 2024-04-02 | $192.1 | $30.4 | 16% | 600 | 0 | 0% |
| 2023-04-04 | $225.0 | -$2.6 | -1% | 600 | 0 | 0% |
| 2022-04-01 | $254.1 | -$31.6 | -12% | 500 | 100 | 20% |
| 2021-04-05 | $184.7 | $37.8 | 20% | 500 | 100 | 20% |
| 2020-04-01 | $196.8 | $25.7 | 13% | 538 | 62 | 12% |
| 2019-04-01 | $191.4 | $31.1 | 16% | 529 | 71 | 13% |
| 2018-04-02 | $148.0 | $74.5 | 50% | 519 | 81 | 16% |
| 2017-04-01 | $120.6 | $101.9 | 85% | 513 | 87 | 17% |
| 2016-04-01 | $114.6 | $107.8 | 94% | 515 | 85 | 17% |
| 2015-04-01 | $105.8 | $116.7 | 110% | 483 | 117 | 24% |
| 2014-04-01 | $105.1 | $117.4 | 112% | 446 | 154 | 35% |
| 2013-04-01 | $119.5 | $103.0 | 86% | 435 | 165 | 38% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV