{
  "crd_number": 110411,
  "slug": "nomura-corporate-research-and-asset-management-inc-new-york-ny-110411",
  "primary_business_name": "NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC",
  "legal_name": "NOMURA CORPORATE RESEARCH AND ASSET MANAGEMENT INC",
  "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": "1991-06-07",
  "years_registered": 35,
  "period": "2026-10-01",
  "filing_date": "2026-06-24",
  "carried_forward": false,
  "raum_total": 37557642327.0,
  "raum_discretionary": 37076082683.0,
  "raum_non_discretionary": 481559644.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 50,
  "advisory_employees": 25,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 0.0,
      "count": 0
    },
    "charitable": {
      "raum": null,
      "count": 0
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 0.0,
      "count": 0
    },
    "state_municipal": {
      "raum": 18427509316.0,
      "count": 20
    },
    "insurance_companies": {
      "raum": 652039128.0,
      "count": 7
    },
    "investment_companies": {
      "raum": 2146068580.0,
      "count": 4
    },
    "pension_profit_sharing": {
      "raum": 2974501712.0,
      "count": 8
    },
    "other_investment_advisers": {
      "raum": 0.0,
      "count": 0
    },
    "high_net_worth_individuals": {
      "raum": 0.0,
      "count": 0
    },
    "pooled_investment_vehicles": {
      "raum": 10071020050.0,
      "count": 22
    },
    "corporations_other_businesses": {
      "raum": 264955972.0,
      "count": 1,
      "fewer_than_5": true
    },
    "business_development_companies": {
      "raum": 0.0,
      "count": 0
    },
    "sovereign_wealth_foreign_official": {
      "raum": 3021547569.0,
      "count": 4,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 1,
  "states_registered": [],
  "websites": [
    "https://nomuracapitalmanagement.com/ncram"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/110411",
  "disclosure_items": [
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/nomura-corporate-research-and-asset-management-inc-new-york-ny-110411",
  "display_name": "Nomura Corporate Research and Asset Management Inc",
  "summary": "Nomura Corporate Research and Asset Management Inc is an SEC-registered investment advisory firm in New York, NY, registered since 1991, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated June 24, 2026.",
  "citation": "AdvisorCensus. Nomura Corporate Research and Asset Management Inc (CRD 110411): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)",
    "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 Nomura Corporate Research and Asset Management Inc compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Nomura Corporate Research and Asset Management Inc reports these compensation arrangements: a percentage of assets under its management; performance-based fees."
    },
    {
      "q": "Where is Nomura Corporate Research and Asset Management Inc located?",
      "a": "Nomura Corporate Research and Asset Management Inc's principal office is in New York, NY, according to its Form ADV."
    },
    {
      "q": "Is Nomura Corporate Research and Asset Management Inc registered with the SEC or a state?",
      "a": "Nomura Corporate Research and Asset Management Inc is an SEC-registered investment advisory firm, registered since 1991. Status as filed: Approved. CRD 110411."
    },
    {
      "q": "How much does Nomura Corporate Research and Asset Management Inc manage?",
      "a": "Nomura Corporate Research and Asset Management Inc reports $37,557,642,327 in regulatory assets under management in its Form ADV filing dated June 24, 2026 (99% discretionary)."
    },
    {
      "q": "How have Nomura Corporate Research and Asset Management Inc's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Nomura Corporate Research and Asset Management Inc: Regulatory assets under management: $32,317,734,128 in the October 2021 data and $37,557,642,327 in the October 2026 data, up 16%. Total employees: 43 in October 2021 and 50 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does Nomura Corporate Research and Asset Management Inc serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (22); state or municipal government entities (including government pension plans) (20); pension and profit sharing plans (but not the plan participants or government pension plans) (8)."
    },
    {
      "q": "Which custodians does Nomura Corporate Research and Asset Management Inc use?",
      "a": "Nomura Corporate Research and Asset Management Inc's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists State Street Bank and Trust Company and The Bank of New York Mellon as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does Nomura Corporate Research and Asset Management Inc report any disciplinary disclosures?",
      "a": "Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.H(1)(b) (court finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/110411"
    },
    {
      "q": "What changed in Nomura Corporate Research and Asset Management Inc's recent Form ADV filings?",
      "a": "In the July 2026 filing data: Updated its list of owners and control persons (Schedule A)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 32317734128.0,
      "total_employees": 43,
      "filing_date": "2021-07-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 33350678365.0,
      "total_employees": 47,
      "filing_date": "2022-06-24"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 30355051997.0,
      "total_employees": 47,
      "filing_date": "2023-06-16"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 37708702213.0,
      "total_employees": 46,
      "filing_date": "2024-06-24"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 36420205852.0,
      "total_employees": 48,
      "filing_date": "2025-06-16"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 37557642327.0,
      "total_employees": 50,
      "filing_date": "2026-06-24"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-07-01",
      "period_label": "July 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "State Street Bank and Trust Company",
      "name_as_filed": "STATE STREET BANK AND TRUST COMPANY",
      "affiliated": false
    },
    {
      "name": "The Bank of New York Mellon",
      "name_as_filed": "THE BANK OF NEW YORK MELLON",
      "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/nomura-corporate-research-and-asset-management-inc-new-york-ny-110411.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 4,
      "fewer_than_5": false,
      "raum": 2146068580.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 22,
      "fewer_than_5": false,
      "raum": 10071020050.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 8,
      "fewer_than_5": false,
      "raum": 2974501712.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 0,
      "fewer_than_5": false,
      "raum": null
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 20,
      "fewer_than_5": false,
      "raum": 18427509316.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 7,
      "fewer_than_5": false,
      "raum": 652039128.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 4,
      "fewer_than_5": true,
      "raum": 3021547569.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 1,
      "fewer_than_5": true,
      "raum": 264955972.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    }
  ],
  "disclosure_line": "Reports 1 disclosure item on Form ADV Item 11.",
  "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/110411",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}