{"url":"https://nivawealth.com/firms/wellington-management-japan-pte-165192","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165192","regulatoryAum":17746863140,"crd":"165192","secFileNumber":"801-77317","legalName":"Wellington Management Japan Pte. LTD.","displayName":"Wellington Management Japan Pte.","website":"https://www.wellington.com","founded":null,"organization":"other (specify) organized in Singapore","fiscalYearEnd":"December","headquarters":{"street":"Palace Building 7f, 1-1-1 Marunouchi, Chiyoda-Ku","city":"Tokyo","state":"","stateName":"","country":"Japan","postalCode":"100-0005"},"tradeNames":[],"registration":{"secApproved":"2 January 2013","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":65,"advisory":9,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":17021825860,"discretionaryAccounts":48,"nonDiscretionary":725037280,"nonDiscretionaryAccounts":1,"wrapProgram":null,"nonUsClientsPct":96,"nonAumClients":0},"clientTypes":[{"label":"Banking or thrift institutions","clients":12,"regulatoryAum":10307054914},{"label":"Pooled investment vehicles","clients":7,"regulatoryAum":2004445546},{"label":"Pension and profit-sharing plans","clients":15,"regulatoryAum":559693102},{"label":"Other investment advisers","clients":2,"regulatoryAum":910162549},{"label":"Sovereign wealth funds and foreign official institutions","clients":13,"regulatoryAum":3965507029}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"Brown Brothers Harriman & Co.","shortName":"Brown Brothers Harriman &","location":"Boston, MA","smaAssets":10307054914},{"name":"The Master Trust Bank of Japan, LTD.","shortName":"The Master Trust Bank of Japan","location":"Tokyo","smaAssets":1947918908},{"name":"Japan Trustee Services Bank, LTD.","shortName":"Japan Trustee Services Bank","location":"Tokyo","smaAssets":1828178967}],"custodyNote":"Wellington Management Japan Pte. has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Kar on Karen Au","title":"Chief Compliance Officer","crd":"6114600"},{"name":"Elizabeth Chisholm","title":"Director","crd":"7138544"},{"name":"David Eikenberry","title":"Director","crd":"5749429"},{"name":"Scott Lopez","title":"Director","crd":"3005564"},{"name":"Janet Perumal","title":"Director","crd":"7205866"}],"ownership":[{"label":"Wellington Management Global Holdings, LTD.","detail":"Shareholder in the 75% or more ownership band and a control person, since September 1998."},{"label":"Wellington Management Group LLP","detail":"Indirect owner: a managing partner of Wellington Group Holdings LLP in the 75% or more band and a control person, since May 2014.","parent":"Wellington Group Holdings LLP"},{"label":"Wellington Group Holdings LLP","detail":"Indirect owner: a managing partner of Wellington Investment Advisors Holdings LLP in the 75% or more band and a control person, since May 2014.","parent":"Wellington Investment Advisors Holdings LLP"},{"label":"Wellington Investment Advisors Holdings LLP","detail":"Indirect owner: a shareholder of Wellington Management Global Holdings, LTD. in the 75% or more band and a control person, since January 2015.","parent":"Wellington Management Global Holdings, LTD."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"81355330011","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","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":"Exchange-traded equity securities","percent":32},{"label":"Investment grade corporate bonds","percent":49},{"label":"Non-investment grade corporate bonds","percent":11},{"label":"Derivatives","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":2},{"label":"Cash and cash equivalents","percent":5}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165192/PDF/165192.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wellington Management Japan Pte. have?","answer":"Wellington Management Japan Pte. has 49 clients and manages $17.7 billion for them, as of March 2026. They include 15 pension and profit-sharing plans, 13 sovereign wealth funds and foreign official institutions and 12 banking or thrift institutions.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wellington Management Japan Pte. offer?","answer":"Wellington Management Japan Pte. provides portfolio management for individuals and small businesses, 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 Wellington Management Japan Pte. use?","answer":"Wellington Management Japan Pte.’s separately managed account assets are held at Brown Brothers Harriman & Co. (Boston, MA), with $10,307,054,914, The Master Trust Bank of Japan, LTD. (Tokyo), with $1,947,918,908 and Japan Trustee Services Bank, LTD. (Tokyo), with $1,828,178,967. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wellington Management Japan Pte. have?","answer":"Wellington Management Japan Pte. has 0 investment adviser representatives registered with state securities authorities, out of 65 employees, and 9 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 Wellington Management Japan Pte. invest in?","answer":"At the end of its last fiscal year, Wellington Management Japan Pte.’s separately managed accounts held 49% investment grade corporate bonds, 32% exchange-traded equities, 11% high-yield corporate bonds, 5% cash and equivalents, 2% pooled vehicles (private funds and similar) and 1% derivatives. 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 Wellington Management Japan Pte.?","answer":"Wellington Management Japan Pte. is owned through a chain of holding companies by Wellington Management Group LLP. Its direct owner is Wellington Management Global Holdings, LTD. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wellington Management Japan Pte. get paid?","answer":"Wellington Management Japan Pte. is paid through a percentage of assets under management, fixed fees 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."}