Nomura Corporate Research And Asset Management Inc (New York)

Name: Nomura Corporate Research And Asset Management Inc
Address: Worldwide Plaza, New York, NY, 10019 7316
Telephone: (212) 667-1414

Nomura Corporate Research And Asset Management Inc is a large advisory firm based in New York. It manages $29.66 billion of regulatory assets for 83 client accounts. It has been registered with the SEC as an adviser since 2001.

Nomura Corporate Research And Asset Management provides portfolio management for investment companies, 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.

Nomura Corporate Research And Asset Management: assets under management

The assets under management (AUM) of Nomura Corporate Research And Asset Management Inc is $29.66 billion. The firm's AUM has grown by 1241% since the beginning of its operation, and $21.36 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $29.39 billion in discretionary accounts and $272.02 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $362.82 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $136.01 million.

Investments

The firm invests in non-investment grade corporate bonds the most. They account for 75% of the total AUM. The second-largest asset type is derivatives, which make up 15% of the firm’s portfolio. Investments in cash and cash equivalents form 4% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nomura Corporate Research And Asset Management Inc for their services and products based on a percentage of assets under management 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 Atsushi Yoshikawa serves?

The firm provides services to insurance companies, investment companies, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Atsushi Yoshikawa is pooled investment vehicles with 31 clients and $14.96 billion of assets under management. Among the 8 most similar advisory firms, Nomura Corporate Research And Asset Management has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $29.66 billion for 83 clients. 55% of the firm’s clients are foreign persons or businesses.

Nomura Corporate Research And Asset Management doesn't advise any private funds.

Careers at Nomura Corporate Research And Asset Management Inc

The company employs 41 people that are either part- or full-time employees. 49 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 5 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Atsushi Yoshikawa has been acting as President since 1 Nov 2011. David Owen Crall joined the executive team most recently as the President, Chief Executive Officer, Chief Investment Officer, Managing Director, Board Of Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Nomura Holding America	Shareholder	1 Mar 1991	75% - 100%	13-3518229
Ltd. The Nomura Securities Co.	Shareholder	1 Mar 1991	Other	13-3518228
Robert Levine	Executive managing director, president, ceo, board member	1 Mar 1991	Other	1367345
Lance Bernard Fraser	Managing director and co-chief operating officer, chief financial officer and board member	1 Nov 1995	Other	2104967
Paul Andrew Dutton	Director, asset management compliance	1 Mar 1996	Other	707410
Atsushi Yoshikawa	Co-chairman of the board	1 Dec 1998	Other	2122520
Joseph Redmond Schmuckler	Co-chairman of the board	1 Dec 1998	Other	1156472
Jennie H Wong	Vice president and chief administrative officer	1 Jun 1999	Other	2404761
Richard Warren Stewart	Director and portfolio manager	1 Aug 1999	Other	2364307
Lance Bernard Fraser	Managing director and chief operating officer	1 Nov 1999	Other	2104967
Jeffrey R Norton	Executive director and head of emerging markets	1 May 2000	Other	2751220
Elizabeth Oconnell Maclean	Director and portfolio manager	1 Jul 2000	Other	4097938
David Mair Findlay	Executive managing director, board member & chief legal officer	1 Nov 2000	Other	4382941
Hideyuki Takahashi	Board member	1 Nov 2000	Other	4242782
Inc. Nomura Holdings	Shareholder	1 Oct 2001	Other	13-3518228
Hideyuki Takahashi	Co-chairman of the board	1 Apr 2002	Other	4242782
Jennie H Wong	Director and chief administrative officer	1 Apr 2003	Other	2404761
Lance Bernard Fraser	Managing director and co-chief operating officer	1 Apr 2003	Other	2104967
Richard Warren Stewart	Managing director and portfolio manager	1 Apr 2003	Other	2364307
Koichi Matsumoto	Managing director and co-chief operating officer	1 Apr 2003	Other	4675146
David Owen Crall	Managing director and portfolio manager	1 Apr 2003	Other	2264950
Stephen Spencer Kotsen	Director and portfolio manager	1 Apr 2003	Other	2500650
Koichi Matsumoto	Managing director and chief operating officer	1 Aug 2004	Other	4675146
Paul Andrew Dutton	Chief compliance officer	1 Oct 2004	Other	707410
Stephen Spencer Kotsen	Managing director and portfolio manager	1 Jun 2005	Other	2500650
Elizabeth Oconnell Maclean	Managing director and portfolio manager	1 May 2006	Other	4097938
Robert Scott Schwartz	Managing director and marketing officer	1 May 2006	Other	1699487
Shigesuke Kashiwagi	Board member	1 Nov 2006	Other	1095691
Steve Rosenthal	Director and portfolio manager	1 Feb 2007	Other	5359739
Amy Yu Chang	Executive director and portfolio manager	1 Jun 2007	Other	3074704
Amy W Yu	Director and portfolio manager	1 Jun 2007	Other	3074704
Robert Ian Hoffman	Vice president and portfolio manager	1 Jun 2007	Other	5373995
Kenneth Charles Klegar	Director and portfolio manager	1 Jun 2007	Other	2171771
David Mair Findlay	Executive managing director, chairman of the board & chief legal officer	1 Jul 2007	Other	4382941
Steven Zoric	Chief compliance officer	1 May 2008	Other	4074487
Neil Anthony Daniele	Chief compliance officer	1 Apr 2009	Other	1180331
Jennie H Wong	Managing director and chief administrative officer	1 May 2009	Other	2404761
Jennie H Wong	Managing director	1 Jan 2010	Other	2404761
David Mair Findlay	President, chief executive officer, and chairman of the board	1 Jan 2010	Other	4382941
David Owen Crall	Managing director and chief investment officer	1 Jan 2010	Other	2264950
Steve Rosenthal	Executive director and co-portfolio manager	1 Jan 2010	Other	5359739
Steven Zoric	General counsel and chief administrative officer	1 Jan 2010	Other	4074487
Naoki Matsuba	Board member	1 Apr 2010	Other	1556129
Atsushi Yoshikawa	Director	1 Nov 2011	Other	2122520
Steven Zoric	General counsel and chief operating officer	1 Apr 2014	Other	4074487
Yutaka Itabashi	Board of director member	1 Apr 2017	Other	6256910
Yuichi Nomoto	Board of director	1 Apr 2019	Other	6705212
David Owen Crall	Board of director	1 Apr 2019	Other	2264950
Tsutomu Takemura	Board of director	1 Apr 2019	Other	2918165
Amy Yu Chang	Managing director and portfolio manager	1 May 2019	Other	3074704
David Owen Crall	President, chief executive officer, chief investment officer, managing director, board of director	1 Jun 2019	Other	2264950

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Nomura Holding	Indirect owner	1 Oct 2001	75% - 100%	foreign

Based in New York

The principal office where Nomura Corporate Research And Asset Management Inc performs its advisory services is located at Worldwide Plaza, New York, NY 10019 7316, 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) 667-1463. The normal business hours are 9:00 a.m. to 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at nomura.com/ncram.