{"url":"https://nivawealth.com/firms/schroder-investment-management-japan-limited-306616","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/306616","regulatoryAum":11013139514,"crd":"306616","secFileNumber":"801-117956","legalName":"Schroder Investment Management (japan) Limited","displayName":"Schroder Investment Management (japan) Limited","website":null,"founded":null,"organization":"corporation organized in Japan","fiscalYearEnd":"December","headquarters":{"street":"Tokyo Torch Tokiwabashi Tower, 27th Floor, 2-6-4 Otemachi","city":"Chiyoda-Ku, Tokyo","state":"","stateName":"","country":"Japan","postalCode":"100-0004"},"tradeNames":[],"registration":{"secApproved":"12 February 2020","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":81,"advisory":17,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":10695505913,"discretionaryAccounts":93,"nonDiscretionary":317633601,"nonDiscretionaryAccounts":7,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":43},"clientTypes":[{"label":"Pooled investment vehicles","clients":57,"regulatoryAum":3545699357},{"label":"Pension and profit-sharing plans","clients":16,"regulatoryAum":626026437},{"label":"State or municipal government entities","clients":7,"regulatoryAum":1936971267},{"label":"Corporations and other businesses","clients":20,"regulatoryAum":4904442453}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"The Master Trust Bank of Japan, LTD.","shortName":"The Master Trust Bank of Japan","location":"Tokyo","smaAssets":1734914618},{"name":"Custody Bank of Japan, LTD.","shortName":"Custody Bank of Japan","location":"Tokyo","smaAssets":847439857}],"custodyNote":"Schroder Investment Management (japan) Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Keita Nambara","title":"President, Chief Executive Officer","crd":"8110091"},{"name":"Shin Terada","title":"Chief Compliance Officer for Japan","crd":"8110097"},{"name":"Alexander McDougall","title":"Direcotor, Member of the Board","crd":"8171226"},{"name":"Shingo Sugiura","title":"Cheif Administrative Officer, Director, Member of the Board","crd":"7207403"},{"name":"Kazuhiro Toyoda","title":"Head of Japanese Equities, Direcotor, Member of the Board","crd":"7853022"}],"ownership":[{"label":"Schroder International Holdings Limited","detail":"Shareholder in the 75% or more ownership band and a control person, since December 1980."},{"label":"Schroder Administration Limited","detail":"Indirect owner: a shareholder of Schroder International Holdings Limited in the 75% or more band and a control person, since June 2004.","parent":"Schroder International Holdings Limited"},{"label":"Schroders PLC","detail":"Indirect owner: a shareholder of Schroder Administration Limited in the 75% or more band and a control person, since June 2004.","parent":"Schroder Administration Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"81352931500","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":86},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":1},{"label":"Derivatives","percent":3},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":8},{"label":"Other","percent":1,"detail":"Abs, CMBS, MBS, Collateral, FX Forward"}],"privateFunds":0},"sources":{"adv1FilingDate":"11 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/306616/PDF/306616.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Schroder Investment Management (japan) Limited have?","answer":"Schroder Investment Management (japan) Limited has 100 clients and manages $11 billion for them, as of May 2026. They include 57 pooled investment vehicles, 20 corporations and other businesses and 16 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 11 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schroder Investment Management (japan) Limited offer?","answer":"Schroder Investment Management (japan) Limited provides 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 Schroder Investment Management (japan) Limited use?","answer":"Schroder Investment Management (japan) Limited’s separately managed account assets are held at The Master Trust Bank of Japan, LTD. (Tokyo), with $1,734,914,618 and Custody Bank of Japan, LTD. (Tokyo), with $847,439,857. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 11 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Schroder Investment Management (japan) Limited have?","answer":"Schroder Investment Management (japan) Limited has 0 investment adviser representatives registered with state securities authorities, out of 81 employees, and 17 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Schroder Investment Management (japan) Limited invest in?","answer":"At the end of its last fiscal year, Schroder Investment Management (japan) Limited’s separately managed accounts held 86% exchange-traded equities, 8% pooled vehicles (private funds and similar), 3% derivatives, 1% sovereign bonds, 1% investment grade corporate bonds and 1% abs, cmbs, mbs, collateral, fx forward. 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 Schroder Investment Management (japan) Limited?","answer":"Schroder Investment Management (japan) Limited is owned through a chain of holding companies by Schroders PLC. Its direct owner is Schroder International Holdings Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 11 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schroder Investment Management (japan) Limited get paid?","answer":"Schroder Investment Management (japan) Limited 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."}