Daiwa Sb Investments Ltd (Chiyoda Ku, Tokyo)


Daiwa Sb Investments Ltd is a large advisory firm based in Chiyoda Ku, Tokyo. It manages $47.81 billion of regulatory assets for 554 client accounts. It has been registered with the SEC as an adviser since 2001.

Daiwa Sb Investments provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Daiwa Sb Investments: assets under management

The assets under management (AUM) of Daiwa Sb Investments Ltd is $47.81 billion. The firm's AUM has grown by 94% since the beginning of its operation, and $47.81 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $47.77 billion in discretionary accounts and $42 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $86.69 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $14 million.

Investments

The firm invests in exchange traded securities the most. They account for 51% of the total AUM. The second-largest asset type is sovereign bonds, which make up 24% of the firm’s portfolio. Investments in other assets form 17% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Daiwa Sb Investments Ltd 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.

What kind of clients Scott E Keller serves?

The firm provides services to pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Scott E Keller is pooled investment vehicles with 372 clients and $27.21 billion of assets under management. Among the 13 most similar advisory firms, Daiwa Sb Investments has the 7th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $47.81 billion for 554 clients. 100% of the firm’s clients are foreign persons or businesses.

Daiwa Sb Investments doesn't advise any private funds.

Careers at Daiwa Sb Investments Ltd

The company employs 371 people that are either part- or full-time employees. 27 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Scott E Keller has been acting as President since 1 Oct 2014. Nobumasa Wakabayashi has served as the Chief Investment Officer since 1 Apr 1999. Yoshio Urata joined the executive team most recently as the Senior Managing Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Daiwa Securities Group Inc Parent company 1 Apr 1999 25% - 50% foreign
Trph Corporation Holding company 1 Apr 1999 Other 52-2033045
Limited Sumitomo Mitsui Trust Bank Shareholder 1 Apr 1999 Other foreign
Sumitomo Mitsui Banking Corporation Direct owner 1 Apr 1999 25% - 50% foreign
Minoru Mori President & ceo 1 Apr 1999 Other 340160
Katsuhiko Tamaki Deputy president 1 Apr 1999 Other 4372232
Nobumasa Wakabayashi Chief investment officer 1 Apr 1999 Other 860953
Norio Imai Senior managing director 1 Apr 1999 Other 4372238
Isao Takemura Managing director 1 Apr 1999 Other 4372242
Katsumi Ando Managing director 1 Apr 1999 Other 4372246
Michael David Testa Director 1 Apr 1999 Other 1778863
Hiroaki Hanao Director 1 Apr 1999 Other 4372250
Koichi Ogawa Executive officer 1 Apr 1999 Other 832762
Kcizo Iguchi Executive officer 1 Apr 1999 Other 4372255
Tadami Nishida Senior executive officer 1 Apr 1999 Other 4372261
Teruyoshi Goto Senior executive officer 1 Apr 1999 Other 4372265
Hideo Tanaka Executive officer 1 Apr 1999 Other 840234
Toshiyuki Ito Executive officer 1 Apr 1999 Other 4372284
Hiroshi Aizawa Executive officer 1 Apr 1999 Other 2153804
Hiroshi Miwa Executive officer 1 Apr 1999 Other 4372286
Kohei Asakura Executive officer 1 Apr 1999 Other 4372289
Shunsuke Ichijo Executive officer 1 Apr 1999 Other 4370204
The Japan Research Institute Inc Direct owner 1 Apr 1999 Other foreign
Sb Leasing Co Ltd Direct owner 1 Apr 1999 Other foreign
Sumigin General Finance Co Ltd Direct owner 1 Apr 1999 Other foreign
The Sumitomo Trust And Banking Co Ltd Direct owner 1 Apr 1999 Other foreign
Sumitomo Mitsui Card Company Limited Direct owner 1 Apr 1999 Other foreign
Sumigin Guarantee Co Ltd Direct owner 1 Apr 1999 Other foreign
Meiko Securities Co Ltd Direct owner 1 Apr 1999 Other foreign
Tadaki Nishida Senior executive officer 1 Apr 1999 Other 4372261
Smbc Leasing Co Ltd Direct owner 1 Apr 1999 Other foreign
Smbc Finance Co Ltd Direct owner 1 Apr 1999 Other foreign
Meiko National Securities Co Ltd Direct owner 1 Apr 1999 Other foreign
Kazuo Otaka Managing director 1 Jun 2001 Other 354153
Katsumi Ando Senior managing director 1 Jun 2002 Other 4372246
Hiroaki Hanao Chief investment officer & managing director 1 Jun 2002 Other 4372250
Keizo Iguchi Terminated 1 Jun 2002 Other 4372255
Shuichi Komori President & ceo 1 Jun 2002 Other 273627
Yoshiyuki Takemoto Director 1 Jun 2002 Other 4541927
Takashi Ishikawa Executive officer 1 Jun 2002 Other 4541928
Kenjiro Noda Director 1 Jun 2002 Other 4550581
Yuichi Kohashi Executive officer 1 Oct 2002 Other 1874896
Toshio Ito Deputy president 1 Dec 2002 Other 4632779
Katsuhiko Tamaki Terminated 1 Dec 2002 Other 4372232
Inc. Sumitomo Mitsui Financial Group Parent company 1 Feb 2003 25% - 50% foreign
Sumitomo Mitsui Financial Group Inc. Direct owner 1 Mar 2003 25% - 50% foreign entity
Inc. Sumitomo Mitsui Financial Group Parent company 1 Mar 2003 25% - 50% foreign
Haruki Nakane Compliance officer 1 Apr 2003 Other 4674910
Koji Ishida Director 1 Jun 2003 Other 4674907
Tatsuei Saito Director 1 Jun 2003 Other 4674909
Robert Todd Ruppert Director 1 Mar 2004 Other 1768045
Hiroaki Hanao Chief investment officer & senior managing director 1 May 2004 Other 4372250
Hiroshi Aizawa Senior executive officer 1 May 2004 Other 2153804
Koichi Ogawa Executive general manager & chief portfolio manager 1 Jun 2004 Other 832762
Junichiro Wakimizu Director 1 Jun 2004 Other 4822268
Teisuke Kitayama Director 1 Jun 2004 Other 4822272
Shunsuke Ichijo Senior executive officer 1 Apr 2005 Other 4370204
Kazuo Otaka Senior managing director 1 Apr 2005 Other 354153
Hiroshi Takeuchi Senior managing director 1 Apr 2005 Other 4984204
Toshiaki Kawai Managing director 1 Apr 2005 Other 4984206
Takashi Ishikawa Senior executive officer 1 Apr 2006 Other 4541928
Toshiaki Kawai Senior managing director 1 Apr 2006 Other 4984206
Nobuaki Omura President & ceo 1 Apr 2006 Other 351614
Yasushi Terao Deputy president 1 Apr 2006 Other 5131543
Takahide Uchida Managing director 1 Apr 2006 Other 5131544
Yasushi Muramatsu Executive officer 1 Apr 2006 Other 2881429
Takashi Nakamura Executive officer 1 Apr 2006 Other 4530640
Toshiaki Kawai Senior managing director & chief compliance officer 1 Apr 2007 Other 4984206
Toyoki Inaba Executive officer 1 Apr 2007 Other 5319276
Katsuhiko Ishikawa Executive officer 1 Apr 2007 Other 5319274
Shunsuke Ichijo Managing director 1 Apr 2008 Other 4370204
Yuji Koseki Executive officer 1 Apr 2008 Other 2262970
Kenji Hayashibe Senior managing executive officer 1 Jun 2008 Other 5556504
Hiroaki Hanao Senior managing director 1 Apr 2009 Other 4372250
Hiroshi Takeuchi Senior managing director & chief investment officer 1 Apr 2009 Other 4984204
Fumihiko Yamanaka Executive officer 1 Apr 2009 Other 5664791
Kiyotaka Hoshino Executive officer 1 Apr 2010 Other 1233344
Shunsuke Ichijo Senior managing director 1 Apr 2010 Other 4370204
Takahide Uchida Senior managing director 1 Apr 2010 Other 5131544
Masamichi Yokoi President & ceo 1 Apr 2010 Other 5144705
Satoshi Matsumoto Director 1 Apr 2010 Other 2071930
Yasushi Yamanaka Executive officer 1 Apr 2010 Other 5779168
Toshiaki Kawai Deputy president 1 Apr 2011 Other 4984206
Katsuhiko Ishikawa Executive officer & chief compliance officer 1 Apr 2011 Other 5319274
Yasushi Yamanaka Director 1 Apr 2011 Other 5779168
Akihiko Kanamura Senior executive officer 1 Apr 2011 Other 5909001
Taizo Hosoda Executive officer 1 Apr 2011 Other 5908999
Toyoki Inaba Managing director 1 Apr 2012 Other 5319276
Satoshi Matsumoto Managing director 1 Apr 2012 Other 2071930
Yasushi Yamanaka Managing director 1 Apr 2012 Other 5779168
Hiroaki Matsuoka Executive officer 1 Apr 2012 Other 6054869
Flemming Madsen Director 1 Jun 2012 Other 6092837
Masami Tada President & ceo 1 Apr 2013 Other 1763220
Yoshio Urata Senior managing director 1 Apr 2013 Other 6180078
Tetsuya Kawaguchi Senior exective officer 1 Apr 2013 Other 2385509
Yuji Kuramoto Executive officer 1 Apr 2013 Other 5518009
Akira Hasegawa Executive offifer 1 Apr 2013 Other 1807197
Katsuhiko Ishikawa Senior exective officer & chief compliance officer 1 Apr 2013 Other 5319274
Akihiko Kanamura Managing director 1 Apr 2013 Other 5909001
Fujio Yanagihara Managing director 1 Apr 2014 Other 1802471
Chikara Nakamura Executive officer 1 Apr 2014 Other 2385586
Yasushi Muramatsu Senior executive officer 1 Apr 2014 Other 2881429
Taizo Hosoda Senior executive officer 1 Apr 2014 Other 5908999
Scott E Keller Director 1 Oct 2014 Other 6414432
Scott Eric Keller Non executive director 1 Oct 2014 Other 6474999
Yasushi Yamanaka Senior managing director 1 Apr 2015 Other 5779168
Akinori Aoki Executive officer 1 Apr 2015 Other 6474441
Makoto Shiraga Executive officer 1 Apr 2015 Other 6474442
Makoto Kamiya Director 1 Apr 2015 Other 6474444
Hidehiro Fujiwara Executive officer 1 Apr 2015 Other 6474449
Yoshihiro Horikawa Senior managing director 1 May 2015 Other 6489522
Jun Arai Outside director 1 Apr 2016 Other 6633842
Hiroshi Otsuki Outside director 1 Apr 2016 Other 6633843
Keiji Komagata Senior managing executive officer 1 Apr 2016 Other 6633844
Takeshi Omasa Executive officer 1 Apr 2016 Other 6633845
Teruhito Itami Executi officer 1 Apr 2016 Other 6633846
Masaaki Goto President &ceo 1 Apr 2016 Other 6633850
Yoshihiro Horikawa Deputy president 1 Apr 2016 Other 6489522
Tateomi Fujino Outside director 1 Oct 2016 Other 5559080
Tetsuya Kawaguchi Senior managing director 1 Apr 2017 Other 2385509
Makoto Kamiya Managing director 1 Apr 2017 Other 6474444
Hiroaki Saito Senior managing director 1 Apr 2017 Other 6779099
Hideomi Ozaki Executive officer 1 Apr 2017 Other 6779100
Satoru Sakai Executive officer 1 Apr 2017 Other 6779102
Takaaki Baba Director 1 Dec 2017 Other 6893462
Yoshio Urata Senior managing director 1 Apr 2018 Other 6180078
Akira Hasegawa Managing executive offifer 1 Apr 2018 Other 1807197
Akinori Aoki Managing executive officer,compliance officer 1 Apr 2018 Other 6474441
Makoto Shiraga Managing executive officer 1 Apr 2018 Other 6474442
Kenji Imamura Senior managing executive officer 1 Apr 2018 Other 6934096
Kazushi Iwai Executive officer 1 Apr 2018 Other 6779103

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. T. Rowe Price Associates Shareholder 1 May 1997 75% - 100% 105496
T Rowe Price Group Inc Holding company 1 Dec 2000 75% - 100% 52-2264646
Sumitomo Mitsui Financial Group Inc. Holding company 1 Dec 2002 75% - 100% foreign

Based in Chiyoda Ku, Tokyo

The principal office where Daiwa Sb Investments Ltd performs its advisory services is located at 2 1 Kasumigaseki 3 Chome, Chiyoda Ku, Tokyo, 100 0013, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 81-3-6205-0542 or by fax 81-3-6205-0572. The normal business hours are 8.40am - 5.10pm on Monday - Friday. You can find more information about the New York firm at daiwasbi.co.jp.

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