DAIWA ASSET MANAGEMENT (AMERICA) LTD

RIASEC RegisteredEst. 2011
Total AUM
$1.7B
Discretionary
$1.7B
100% of AUM
Avg account
$115M
Accounts
15
Employees
9
Advisory reps
4

Firm details

Headquarters
New York, New York
CRD number
126191
Registered since
August 5, 2011
Fee structure
Percentage of AUM, Other
Client types
  • Pooled Investment Vehicles100%
Services
Portfolio Management for Pooled Investment Vehicles

Firm profile

FINTRX

Overview

Daiwa Asset Management (America) Ltd. operates as the U.S. arm of a foreign-owned investment organization focused on institutional mandates and pooled vehicles. The firm’s regulatory filings identify its primary advisory activity as portfolio management for pooled investment vehicles and list CPO/CTA activity, indicating it manages or advises collective investment structures rather than acting as a traditional retail wealth manager. Its business model leans on percentage-of-AUM fees (and other fee arrangements) and a small roster of large institutional clients. Investment emphasis appears credit-oriented: the firm explicitly records allocations to corporate debt and uses third‑party external alternative managers to source specialized exposures. It is not designated as an active ESG investor in its filing. The firm’s registered activities and affiliations — including roles as sponsor or general partner of pooled vehicles and connections to broker‑dealer, banking, and real estate entities — point to a multi-function institutional platform that sponsors or manages fund products while outsourcing certain specialist strategies.

Assets & Accounts

Investments & Alternatives

Location & Offices

Investment profile

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Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

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CRM & tech providers

TAMPs used

Clients

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Client base

Client personas

Owners & executives

1 of 1
  • RICHARD SPECTOR

    Chief Operating OfficerCRD 2304949

Contacts

3 of 3
  • Shintaro Furukawa

    DirectorCRD 7771637

  • Yukiko Kanai

    DirectorCRD 8180000

  • Yoshihiro Horinouchi

    PresidentCRD 7718718

Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

New York, NY

NEW YORK

Location

New York, NY

Headquartered in New York, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NEW YORK
Address
120 W 45th St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth