Nomura Funds Research And Technologies America Inc. (New York)


Nomura Funds Research And Technologies America Inc. is a large advisory firm based in New York. It manages $702.12 million of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2001.

Nomura Funds Research And Technologies America provides portfolio management for pooled investment vehicles and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nomura Funds Research And Technologies America: assets under management

The assets under management (AUM) of Nomura Funds Research And Technologies America Inc. is $702.12 million. The firm's AUM has grown by 1070% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $400.96 million in discretionary accounts and $301.16 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $57.28 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $75.29 million.
Nomura Funds Research And Technologies America has custody of $57.8 million in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nomura Funds Research And Technologies America Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nomura Funds Research And Technologies America Inc.

Shigeki Fujitani has been acting as President since 1 May 2001. Koichi Goto joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Inc. Nomura Holding America Shareholder 1 May 2001 75% - 100% xxx-xx-xxxx
Shigeki Fujitani President 1 May 2001 Other 1170934
Paul Andrew Dutton Compliance officer 1 May 2001 Other 707410
Seth Ira Berman Chief financial officer and chief administrative officer 1 Jul 2001 Other 1696378
Shinichiro Sato Chief operating officer 1 Aug 2001 Other 4385712
Joseph Redmond Schmuckler Board member 1 Aug 2001 Other 1156472
Hideyuki Takahashi Board member 1 Aug 2001 Other 4242782
David Mair Findlay Board member 1 Aug 2001 Other 4382941
Yusaku Sakaguchi Board member 1 Aug 2001 Other 1178887
Shinichiro Sato President and chief executive officer 1 Oct 2001 Other 4385712
Masaya Fujita Chief product officer 1 Oct 2001 Other 4246976
Goshin Mizuno Chief fund analyst 1 Oct 2001 Other 4469844
Inc. Nomura Holding America Shareholder 1 Oct 2001 75% - 100% 13-3518229
Kei Yuguchi Chief strategist 1 Mar 2002 Other 3164939
Hirokazu Minamida Board member 1 Apr 2002 Other 1061185
Kenichi Shinbashi Board member 1 Apr 2003 Other 1730095
Yoshimitsu Oura Board member 1 May 2004 Other 4831980
Yoshio Miki Board member 1 Jul 2004 Other 4831982
John Scott Ward Chief financial and administrative officer 1 Sep 2004 Other 1719215
Paul Andrew Dutton Chief compliance officer 1 Oct 2004 Other 707410
Yasuaki Fukui Board member 1 Apr 2005 Other 1030920
Junji Kawahara President, chief executive officer and board member 1 Sep 2005 Other 5037171
Toshihiro Iwasaki Board member 1 Apr 2006 Other 5127895
Shigesuke Kashiwagi Board member 1 Oct 2006 Other 1095691
Yasuo Kashiwagi Board member 1 Apr 2008 Other 4546400
Steven Zoric Chief compliance officer 1 May 2008 Other 4074487
Neil Anthony Daniele Chief compliance officer 1 Apr 2009 Other 1180331
Masashi Kuwashima President and chief executive officer 1 May 2009 Other 5669462
Shiro Fujitsu Chairman of the board 1 Apr 2010 Other 5777832
Naoki Matsuba Board member 1 Apr 2010 Other 1556129
Freddie L Carrini Vice president, head of business operations 1 Oct 2010 Other 4166544
Masahito Shimizu Board member 1 Jan 2011 Other 5874786
Minoru Torii Board member 1 Apr 2011 Other 5905477
Koichi Goto Director 1 Apr 2012 Other 6091415
Satoshi Arai Director 1 Apr 2012 Other 6091416

Indirect Owners

The SEC currently registers 3 indirect owners.

Name Entity Date acquired Ownership Employer ID
Ltd. The Nomura Securities Co. Shareholder 1 May 2001 75% - 100% 99-9999999
Inc. Nomura Holdings Shareholder 1 May 2001 75% - 100% foreign
Inc. Nomura Holding Shareholder 1 May 2001 75% - 100% foreign

Based in New York

The principal office where Nomura Funds Research And Technologies America Inc. performs its advisory services is located at 2 World Financial Center, Bldg. B, New York, NY 10281 1198, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 667-1414 or by fax (212) 667-1429. The normal business hours are 9 am to 5 pm on Monday - Friday. You can find more information about the New York firm at www.pdutton@us.nomura.com.

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