Nomura Funds Research And Technologies America Inc. (New York)

Name: Nomura Funds Research And Technologies America Inc.
Address: 2 World Financial Center, Bldg. B, New York, NY, 10281 1198
Telephone: (212) 667-1414

Nomura Funds Research And Technologies America Inc. is a large advisory firm based in New York. It manages $702.12 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2001.

Nomura Funds Research And Technologies America provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nomura Funds Research And Technologies America: assets under management

The assets under management (AUM) of Nomura Funds Research And Technologies America Inc. is $702.12 million. The firm's AUM has grown by 1070% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $400.96 million in discretionary accounts and $301.16 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $57.28 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $75.29 million.

Nomura Funds Research And Technologies America has custody of $57.8 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nomura Funds Research And Technologies America Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nomura Funds Research And Technologies America Inc.

Shigeki Fujitani has been acting as President since 1 May 2001. Koichi Goto joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Nomura Holding America	Shareholder	1 May 2001	75% - 100%	xxx-xx-xxxx
Shigeki Fujitani	President	1 May 2001	Other	1170934
Paul Andrew Dutton	Compliance officer	1 May 2001	Other	707410
Seth Ira Berman	Chief financial officer and chief administrative officer	1 Jul 2001	Other	1696378
Shinichiro Sato	Chief operating officer	1 Aug 2001	Other	4385712
Joseph Redmond Schmuckler	Board member	1 Aug 2001	Other	1156472
Hideyuki Takahashi	Board member	1 Aug 2001	Other	4242782
David Mair Findlay	Board member	1 Aug 2001	Other	4382941
Yusaku Sakaguchi	Board member	1 Aug 2001	Other	1178887
Shinichiro Sato	President and chief executive officer	1 Oct 2001	Other	4385712
Masaya Fujita	Chief product officer	1 Oct 2001	Other	4246976
Goshin Mizuno	Chief fund analyst	1 Oct 2001	Other	4469844
Inc. Nomura Holding America	Shareholder	1 Oct 2001	75% - 100%	13-3518229
Kei Yuguchi	Chief strategist	1 Mar 2002	Other	3164939
Hirokazu Minamida	Board member	1 Apr 2002	Other	1061185
Kenichi Shinbashi	Board member	1 Apr 2003	Other	1730095
Yoshimitsu Oura	Board member	1 May 2004	Other	4831980
Yoshio Miki	Board member	1 Jul 2004	Other	4831982
John Scott Ward	Chief financial and administrative officer	1 Sep 2004	Other	1719215
Paul Andrew Dutton	Chief compliance officer	1 Oct 2004	Other	707410
Yasuaki Fukui	Board member	1 Apr 2005	Other	1030920
Junji Kawahara	President, chief executive officer and board member	1 Sep 2005	Other	5037171
Toshihiro Iwasaki	Board member	1 Apr 2006	Other	5127895
Shigesuke Kashiwagi	Board member	1 Oct 2006	Other	1095691
Yasuo Kashiwagi	Board member	1 Apr 2008	Other	4546400
Steven Zoric	Chief compliance officer	1 May 2008	Other	4074487
Neil Anthony Daniele	Chief compliance officer	1 Apr 2009	Other	1180331
Masashi Kuwashima	President and chief executive officer	1 May 2009	Other	5669462
Shiro Fujitsu	Chairman of the board	1 Apr 2010	Other	5777832
Naoki Matsuba	Board member	1 Apr 2010	Other	1556129
Freddie L Carrini	Vice president, head of business operations	1 Oct 2010	Other	4166544
Masahito Shimizu	Board member	1 Jan 2011	Other	5874786
Minoru Torii	Board member	1 Apr 2011	Other	5905477
Koichi Goto	Director	1 Apr 2012	Other	6091415
Satoshi Arai	Director	1 Apr 2012	Other	6091416

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ltd. The Nomura Securities Co.	Shareholder	1 May 2001	75% - 100%	99-9999999
Inc. Nomura Holdings	Shareholder	1 May 2001	75% - 100%	foreign
Inc. Nomura Holding	Shareholder	1 May 2001	75% - 100%	foreign

Based in New York

The principal office where Nomura Funds Research And Technologies America Inc. performs its advisory services is located at 2 World Financial Center, Bldg. B, New York, NY 10281 1198, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 667-1414 or by fax (212) 667-1429. The normal business hours are 9 am to 5 pm on Monday - Friday. You can find more information about the New York firm at www.pdutton@us.nomura.com.