{"url":"https://nivawealth.com/firms/nomura-corporate-research-and-asset-management-110411","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/110411","regulatoryAum":37557642327,"crd":"110411","secFileNumber":"801-38965","legalName":"Nomura Corporate Research and Asset Management Inc","displayName":"Nomura Corporate Research and Asset Management","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"March","headquarters":{"street":"Worldwide Plaza, 309 West 49th Street","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10019-7316"},"tradeNames":[],"registration":{"secApproved":"7 June 1991","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":50,"advisory":25,"brokerDealerReps":1,"insuranceAgents":0,"promoters":6},"aum":{"discretionary":37076082683,"discretionaryAccounts":64,"nonDiscretionary":481559644,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":47,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":4,"regulatoryAum":2146068580},{"label":"Pooled investment vehicles","clients":22,"regulatoryAum":10071020050},{"label":"Pension and profit-sharing plans","clients":8,"regulatoryAum":2974501712},{"label":"State or municipal government entities","clients":20,"regulatoryAum":18427509316},{"label":"Insurance companies","clients":7,"regulatoryAum":652039128},{"label":"Sovereign wealth funds and foreign official institutions","clients":4,"regulatoryAum":3021547569},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":264955972}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":15111581778},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":5272048756}],"custodyNote":"Nomura Corporate Research and Asset Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Crall","title":"President, Chief Executive Officer, Chief Investment Officer, Managing Director, Board of Director","crd":"2264950"},{"name":"Eugene Chiulli","title":"Treasurer, Chief Financial Officer","crd":"2976702"},{"name":"Neil Daniele","title":"Chief Compliance Officer","crd":"1180331"},{"name":"Steven Aloupis","title":"Board of Director - Chairman","crd":"2498339"},{"name":"Yusuke Andoh","title":"Board of Director","crd":"7911478"},{"name":"Amy Chang","title":"Managing Director and Portfolio Manager","crd":"3074704"},{"name":"Melanie Hawthorne","title":"Head of Legal","crd":"5751438"},{"name":"Stephen Kotsen","title":"Managing Director and Portfolio Manager","crd":"2500650"},{"name":"Eugene Shuster","title":"Managing Director - Head of Risk","crd":"7110934"},{"name":"Meno Stroemer","title":"Managing Director, Portfolio Manager","crd":"2828983"}],"ownership":[{"label":"Nomura Holding America, Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since March 1991."},{"label":"Nomura Holdings, Inc.","detail":"Indirect owner: a indirect owner of Nomura Holding America, Inc. in the 75% or more band and a control person, since October 2001.","parent":"Nomura Holding America, Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"Worldwide Plaza, 309 West 49th Street","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-667-9000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Investment grade corporate bonds","percent":2},{"label":"Non-investment grade corporate bonds","percent":94},{"label":"Derivatives","percent":2},{"label":"Cash and cash equivalents","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"24 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/110411/PDF/110411.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Nomura Corporate Research and Asset Management have?","answer":"Nomura Corporate Research and Asset Management has 66 clients and manages $37.6 billion for them, as of June 2026. They include 22 pooled investment vehicles, 20 state or municipal government entities and 8 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Nomura Corporate Research and Asset Management offer?","answer":"Nomura Corporate Research and Asset Management provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Nomura Corporate Research and Asset Management use?","answer":"Nomura Corporate Research and Asset Management’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $15,111,581,778 and The Bank of New York Mellon (New York, NY), with $5,272,048,756. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Nomura Corporate Research and Asset Management have?","answer":"Nomura Corporate Research and Asset Management has 0 investment adviser representatives registered with state securities authorities, out of 50 employees, and 25 perform investment advisory functions. 1 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Nomura Corporate Research and Asset Management invest in?","answer":"At the end of its last fiscal year, Nomura Corporate Research and Asset Management’s separately managed accounts held 94% high-yield corporate bonds, 2% investment grade corporate bonds, 2% derivatives and 2% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Nomura Corporate Research and Asset Management?","answer":"Nomura Corporate Research and Asset Management is owned through a holding company by Nomura Holdings, Inc. Its direct owner is Nomura Holding America, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Nomura Corporate Research and Asset Management get paid?","answer":"Nomura Corporate Research and Asset Management is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}