Nomura Global ALPha LLC (New York)

Nomura Global ALPha LLC is a large advisory firm based in New York. It manages $149.49 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2008.

Nomura Global ALPha provides portfolio management for pooled investment vehicles and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm also engages as sponsor of pooled investment vehicles.

Nomura Global ALPha: assets under management

The assets under management (AUM) of Nomura Global ALPha LLC is $149.49 million. The firm's AUM has grown by 78% since the beginning of its operation, and $149.49 million of the total AUM is attributable to clients outside of the United States.

The firm manages $63.89 million in discretionary accounts and $85.6 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $63.89 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $42.8 million.

Nomura Global ALPha has custody of $63.89 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 Global ALPha LLC for their services and products based on a percentage of assets under management 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.

What kind of clients Yutaka Itabashi serves?

The only and largest group of clients of Yutaka Itabashi is pooled investment vehicles with 3 clients and $149.49 million of assets under management. Among the 10 most similar advisory firms, Nomura Global ALPha has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $149.49 million for 3 clients. 100% of the firm’s clients are foreign persons or businesses.

Nomura Global ALPha also advises several private funds. Namely, one hedge fund. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Nomura Global ALPha LLC

The company employs 3 people that are either part- or full-time employees. 100 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 4 people with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Yutaka Itabashi has been acting as President since 1 Nov 2013. Shalabh Garg has served as the Chief Investment Officer since 1 Sep 2011. Hideo Kajiwara joined the executive team most recently as the Chief Investment Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Shigeru Shinohara	President	1 May 2008	Other	1683553
Hiroyuki Nakano	Treasurer	1 May 2008	Other	5493248
Kenneth Langford Munt	Secretary	1 May 2008	Other	4386008
Neil Anthony Daniele	Chief compliance officer	1 May 2008	Other	1180331
Rajiv Sobti	Chief investment officer	1 May 2008	Other	1543526
Nomura Asset Management U.S.A. Inc.	Shareholder	1 May 2008	75% - 100%	13-2866631
Neil Anthony Daniele	Chief compliance officer, corporate secretary	1 Jun 2008	Other	1180331
Nomura Asset Management U.S.A. Inc.	Member	1 Jun 2008	75% - 100%	13-2866631
Shigeru Shinohara	President	1 Jun 2008	Other	1683553
Hiroyuki Nakano	Treasurer	1 Jun 2008	Other	5493248
Kenneth Langford Munt	Secretary	1 Jun 2008	Other	4386008
Rajiv Sobti	Chief investment officer	1 Jun 2008	Other	1543526
Shalabh Garg	Chief investment officer	1 Sep 2011	Other	4222216
Hiromichi Aoki	Treasurer	1 Jan 2012	Other	1794383
Masashi Terachi	President	1 Apr 2012	Other	5780539
David Mair Findlay	President	1 Sep 2013	Other	4382941
Yutaka Itabashi	President	1 Nov 2013	Other	6256910
Hiromichi Aoki	Chief administrative officer	1 Dec 2013	Other	1794383
Amy Jessica Marose	Treasurer	1 Dec 2013	Other	6272711
Amy Jessica Robles	Treasurer	1 Dec 2013	Other	6272711
Takeshi Toyoshima	Chief administrative officer	1 Aug 2016	Other	4667055
Zheng Liu	Chief administrative officer	1 Sep 2018	Other	7024526
Yuichi Nomoto	President	1 Apr 2019	Other	6705212
Hideo Kajiwara	Chief investment officer	1 Jul 2019	Other	7156816

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. (Formerly Named The Nomura Securities Co. Ltd.) Nomura Holdings	Stockholder	1 Dec 1959	75% - 100%	foreign
Ltd. Nomura Asset Management Co.	Shareholder	1 Oct 1997	75% - 100%	foreign

Based in New York

The principal office where Nomura Global ALPha LLC performs its advisory services is located at Worldwide Plaza, New York, NY 10019 7316, 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 212-667-1463. The normal business hours are 9:00 am - 5:00 pm on Monday - Friday.