AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $37.4 |
| Non-Discretionary | $0.3 |
| Total | $37.7 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $14.0 |
| Institutional | $23.7 |
| Total | $37.7 |
| 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
| Custodian | Location | AUM |
|---|---|---|
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $7.5 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $3.7 |
| STATE STREET BANK INTERNATIONAL GMBH | FRANKFURT--DEU | $2.6 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $23.7 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $23.7 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.2 |
| HY Credit | 89% | $21.1 |
| Derivatives | 8% | $1.9 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 2% | $0.5 |
| Other | 1% | $0.2 |
| Total | 101% | $24.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| NOMURA ASSET MANAGEMENT CO., LTD. | $506.6 | 110814 | |
| NOMURA ASSET MANAGEMENT SINGAPORE LIMITED | $13.8 | 110813 | |
| NOMURA ASSET MANAGEMENT U.S.A. INC | $0.8 | 108222 | |
| GLOBAL FUNDS TRUST COMPANY | $0.0 | trust company | - |
| NOMURA BANK (LUXEMBOURG) S.A. | $0.0 | broker-dealer | - |
| THE NOMURA TRUST & BANKING CO., LTD. | $0.0 | broker-dealer, trust company | - |
| NOMURA ASSET MANAGEMENT EUROPE KVG MBH | $0.0 | - | |
| NOMURA ASSET MANAGEMENT U.K. LIMITED | $0.0 | 110815 | |
| GLOBAL FUNDS MANAGEMENT, S.A. | $0.0 | - | |
| NOMURA SECURITIES INTERNATIONAL, INC. | $0.0 | broker-dealer | 4297 |
| NOMURA ASSET MANAGEMENT TAIWAN LTD. | $0.0 | - | |
| INSTINET, LLC | $0.0 | broker-dealer | 7897 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| No control persons found |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $37.7 | $0.0 | 0% | 46 | 0 | 0% |
| 2024-04-02 | $30.4 | $7.4 | 24% | 47 | -1 | -2% |
| 2023-04-04 | $33.4 | $4.4 | 13% | 47 | -1 | -2% |
| 2022-04-01 | $32.3 | $5.4 | 17% | 43 | 3 | 7% |
| 2021-04-05 | $25.5 | $12.2 | 48% | 44 | 2 | 5% |
| 2020-04-01 | $29.7 | $8.0 | 27% | 41 | 5 | 12% |
| 2019-04-01 | $25.2 | $12.5 | 50% | 41 | 5 | 12% |
| 2018-04-02 | $24.4 | $13.4 | 55% | 41 | 5 | 12% |
| 2017-04-01 | $14.1 | $23.6 | 167% | 41 | 5 | 12% |
| 2016-04-01 | $14.3 | $23.4 | 164% | 40 | 6 | 15% |
| 2015-04-01 | $15.6 | $22.1 | 141% | 41 | 5 | 12% |
| 2014-04-01 | $19.3 | $18.4 | 95% | 42 | 4 | 10% |
| 2013-04-01 | $18.6 | $19.1 | 103% | 42 | 4 | 10% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV