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DAIWA ASSET MANAGEMENT (AMERICA) LTD
Legal name: DAIWA ASSET MANAGEMENT (AMERICA) LTD.
CRD 126191File 801-72608
APPROVED
Filing as of Jun 23, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$5.96B
Top 25% of cohort (national)
Discretionary AUM
$5.96B
Clients
17
17 accounts
Employees
12
Top 25% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Aug 5, 2011
- Principal office
- 120 WEST 45TH STREET, 38TH FLOOR, NEW YORK, NY, 10036-4195
- Phone
- 212-612-6254
- Website
- Not reported
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $5.96B
- Discretionary AUM
- $5.96B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 17
- Non-discretionary accounts
- 0
- Total accounts
- 17
- AUM per client
- $350.6M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Insurance companies | 1 | $4.09B |
| Pooled investment vehicles | 16 | $1.87B |
Compensation & activities
ADV Items 5E, 5GCompensation
- Other
- Other (described) — FEES RECEIVED FROM SERVICES PROVIDED TO PARENT COMPANY
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Jul 1, 2026 | Employees | 9 | 12 | increased by3 |
| Jul 1, 2026 | Clients | 15 | 17 | increased by2 |
| Jul 1, 2026 | AUM | $1,724,698,448 | $5,959,831,087 | increased by$4,235,132,639 |
| Jul 1, 2026 | Accounts | 15 | 17 | increased by2 |
| Dec 1, 2025 vs May 1, 2025 | Employees | 8 | 9 | increased by1 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 16 | 15 | decreased by1 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $2,104,058,400 | $1,724,698,448 | decreased by$379,359,952 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 16 | 15 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 9 | 16 | increased by7 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $1,903,948,166 | $2,104,058,400 | increased by$200,110,234 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 9 | 16 | increased by7 |
| Jul 1, 2022 | Employees | 9 | 8 | decreased by1 |
| Jul 1, 2022 | Clients | 6 | 9 | increased by3 |
| Jul 1, 2022 | AUM | $693,145,497 | $1,903,948,166 | increased by$1,210,802,669 |
| Jul 1, 2022 | Accounts | 6 | 9 | increased by3 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “DAIWA ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“DAIWA ASSET” 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.