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Nikko Global Asset Management Usa Inc (New York)


Nikko Global Asset Management Usa Inc is a large advisory firm based in New York. It manages $4.07 billion of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2001.




Nikko Global Asset Management U provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nikko Global Asset Management U: assets under management

The assets under management (AUM) of Nikko Global Asset Management Usa Inc is $4.07 billion. The firm's AUM has gone down by -6% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.


The firm manages $336.72 million in discretionary accounts and $3.73 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $84.18 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $414.54 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nikko Global Asset Management Usa Inc for their services and products based on a percentage of assets under management and fixed 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.

Indirect Owners

The SEC currently registers 8 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ltd. Nikko Securities Co. Shareholder 1 Mar 1984 75% - 100% foreign entity
Nikko Global Asset Management Limited Shareholder 1 Mar 1998 75% - 100% foreign entity
Ltd. Nikko Asset Manageement Co. Shareholder 1 Apr 1999 75% - 100% forgein entity
Ltd. (Nikko Am) Nikko Asset Manageement Co. Shareholder 1 Apr 1999 75% - 100% forgein entity
Nikko Cordial Corporation Shareholder 1 Apr 1999 75% - 100% foreign entity
Nam Holding Inc. Shareholder 1 Mar 2004 25% - 50% foreign entity
Nikko Principal Investment Japan Ltd. Shareholder 1 Mar 2004 25% - 50% foreign enitity
Ltd. (Nikko Am) Nikko Asset Management Co. Owner of parent company 1 Sep 2004 75% - 100% foregin entity

Based in New York

The principal office where Nikko Global Asset Management Usa Inc performs its advisory services is located at 630 Third Avenue, 6 Th Fl., New York, NY 10017, 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 212-920-8600 or by fax 212-557-6630. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.


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