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NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST
CRD 105390File 801-32108
APPROVED
Retail clients
Custody
Disclosure events
Filing as of Sep 16, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$144.04B
Top 10% of cohort (national)
Discretionary AUM
$144.04B
Clients
275
290 accounts
Employees
778
Top 10% of cohort in PA
Identity & registration
ADV Item 1- Organization form
- Other (specify)
- Firm type
- Registered
- SEC region
- PLRO
- Registration date
- May 31, 1988
- Principal office
- 610 MARKET STREET, PHILADELPHIA, PA, 19106
- Phone
- 215-531-6700
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $144.04B
- Discretionary AUM
- $144.04B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 290
- Non-discretionary accounts
- 0
- Total accounts
- 290
- AUM per client
- $523.8M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Other | 45 | $4.39B |
| Non-U.S. persons | Fewer than 5 | $1.03B |
| Insurance companies | 6 | $34.95B |
| Investment companies | 112 | $91.54B |
| High net worth individuals | 25 | $1.40B |
| Pooled investment vehicles | 51 | $4.96B |
| Pension and profit sharing plans | 14 | $1.52B |
| State or municipal government entities | 15 | $3.43B |
| Individuals (other than high net worth individuals) | 7 | $715.1M |
Compensation & activities
ADV Items 5E, 5GCompensation
- Fixed fees
- Performance-based fees
- A percentage of assets under your management
Advisory activities
- Other advisory activities
- Selection of other advisers
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for individuals and/or small businesses
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- Yes
- Firm Custody Clients
- Yes
- Firm Custody Securities
- No
- Related Person Custody Cash
- Yes
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- Yes
Disclosure events
ADV Item 11- Q11
- Q11C1
- Q11C2
- Q11C4
- Q11C5
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Aug 17, 2026 | Clients | 287 | 275 | decreased by12 |
| Jul 1, 2026 | Employees | 598 | 778 | increased by180 |
| Jul 1, 2026 | Clients | 316 | 287 | decreased by29 |
| Jul 1, 2026 | AUM | $164,320,917,908 | $144,044,874,720 | decreased by$20,276,043,188 |
| Jul 1, 2026 | Accounts | 317 | 290 | decreased by27 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 657 | 598 | decreased by59 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 377 | 316 | decreased by61 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $190,960,333,268 | $164,320,917,908 | decreased by$26,639,415,360 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 377 | 317 | decreased by60 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 628 | 657 | increased by29 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 454 | 377 | decreased by77 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $236,026,994,245 | $190,960,333,268 | decreased by$45,066,660,977 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 454 | 377 | decreased by77 |
| Jul 1, 2022 | Employees | 532 | 628 | increased by96 |
| Jul 1, 2022 | Clients | 343 | 454 | increased by111 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “NOMURA INVESTMENT” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“NOMURA INVESTMENT” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.