{ "crd_number": 126191, "slug": "daiwa-asset-management-america-ltd-new-york-ny-126191", "primary_business_name": "DAIWA ASSET MANAGEMENT (AMERICA) LTD", "legal_name": "DAIWA ASSET MANAGEMENT (AMERICA) LTD.", "dbas": [], "city": "New York", "state": "NY", "country": "United States", "cbsa_code": "35620", "metro": { "cbsa_code": "35620", "common_name": "New York", "msa_name": "New York-Newark-Jersey City, NY-NJ", "path": "/advisors/ny/new-york" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2011-08-05", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-06-23", "carried_forward": false, "raum_total": 5959831087.0, "raum_discretionary": 5959831087.0, "raum_non_discretionary": 0.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 12, "advisory_employees": 11, "client_count_bucket": null, "clients_by_type": { "insurance_companies": { "raum": 4086640143.0, "count": 1 }, "pooled_investment_vehicles": { "raum": 1873190944.0, "count": 16 } }, "compensation_types": [ "other", "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "NY" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126191", "city_as_filed": "NEW YORK", "url": "https://advisorcensus.com/firm/daiwa-asset-management-america-ltd-new-york-ny-126191", "display_name": "Daiwa Asset Management (America) Ltd", "summary": "Daiwa Asset Management (America) Ltd is an SEC-registered investment advisory firm in New York, NY, registered since 2011, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 23, 2026.", "citation": "AdvisorCensus. Daiwa Asset Management (America) Ltd (CRD 126191): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Other" ], "advisory_activity_labels": [ "Portfolio management for pooled investment vehicles (other than investment companies)", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Daiwa Asset Management (America) Ltd compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Daiwa Asset Management (America) Ltd reports these compensation arrangements: a percentage of assets under its management; other. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Daiwa Asset Management (America) Ltd located?", "a": "Daiwa Asset Management (America) Ltd's principal office is in New York, NY, according to its Form ADV." }, { "q": "Is Daiwa Asset Management (America) Ltd registered with the SEC or a state?", "a": "Daiwa Asset Management (America) Ltd is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 126191." }, { "q": "How much does Daiwa Asset Management (America) Ltd manage?", "a": "Daiwa Asset Management (America) Ltd reports $5,959,831,087 in regulatory assets under management in its Form ADV filing dated June 23, 2026 (100% discretionary)." }, { "q": "How have Daiwa Asset Management (America) Ltd's assets and staff changed since 2021?", "a": "In the Form ADV data for Daiwa Asset Management (America) Ltd: Regulatory assets under management: $693,145,497 in the October 2021 data and $5,959,831,087 in the October 2026 data, up 760%. Total employees: 9 in October 2021 and 12 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Daiwa Asset Management (America) Ltd serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (16); insurance companies (1)." }, { "q": "Which custodians does Daiwa Asset Management (America) Ltd use?", "a": "Daiwa Asset Management (America) Ltd's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Custody Bank of Japan, Ltd. as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Daiwa Asset Management (America) Ltd report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/126191" }, { "q": "What changed in Daiwa Asset Management (America) Ltd's recent Form ADV filings?", "a": "In the July 2026 filing data: Employees performing advisory functions went from 7 to 11. Regulatory assets under management went from $1,724,698,448 to $5,959,831,087 (+246%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 693145497.0, "total_employees": 9, "filing_date": "2021-06-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": 1903948166.0, "total_employees": 8, "filing_date": "2022-06-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 1814967859.0, "total_employees": 10, "filing_date": "2023-06-20" }, { "period": "2024-10-01", "regulatory_assets_under_management": 2104058400.0, "total_employees": 8, "filing_date": "2024-06-21" }, { "period": "2025-10-01", "regulatory_assets_under_management": 1724698448.0, "total_employees": 9, "filing_date": "2025-06-26" }, { "period": "2026-10-01", "regulatory_assets_under_management": 5959831087.0, "total_employees": 12, "filing_date": "2026-06-23" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Employees performing advisory functions went from 7 to 11.", "Regulatory assets under management went from $1,724,698,448 to $5,959,831,087 (+246%).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-03-01", "period_label": "March 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2025-11-01", "period_label": "November 2025", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Custody Bank of Japan, Ltd.", "name_as_filed": "CUSTODY BANK OF JAPAN, LTD.", "affiliated": false } ], "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.", "markdown_url": "https://advisorcensus.com/firm/daiwa-asset-management-america-ltd-new-york-ny-126191.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 16, "fewer_than_5": false, "raum": 1873190944.0 }, { "type": "insurance_companies", "label": "Insurance companies", "count": 1, "fewer_than_5": false, "raum": 4086640143.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/126191", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }