Daiwa Sb Investments Ltd (Chiyoda Ku, Tokyo)

Name: Daiwa Sb Investments Ltd
Address: 2 1 Kasumigaseki 3 Chome, Chiyoda Ku, Tokyo, 100 0013
Telephone: 81-3-6205-0542

Daiwa Sb Investments Ltd is a large advisory firm based in Chiyoda Ku, Tokyo. It manages $47.81 billion of regulatory assets for 554 client accounts. It has been registered with the SEC as an adviser since 2001.

Daiwa Sb Investments 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 doesn't engage in other business activities.

Daiwa Sb Investments: assets under management

The assets under management (AUM) of Daiwa Sb Investments Ltd is $47.81 billion. The firm's AUM has grown by 94% since the beginning of its operation, and $47.81 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $47.77 billion in discretionary accounts and $42 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $86.69 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $14 million.

Investments

The firm invests in exchange traded securities the most. They account for 51% of the total AUM. The second-largest asset type is sovereign bonds, which make up 24% of the firm’s portfolio. Investments in other assets form 17% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Daiwa Sb Investments Ltd 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.

What kind of clients Scott E Keller serves?

The firm provides services to pooled investment vehicles, banking or thrift institutions, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Scott E Keller is pooled investment vehicles with 372 clients and $27.21 billion of assets under management. Among the 13 most similar advisory firms, Daiwa Sb Investments has the 7th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $47.81 billion for 554 clients. 100% of the firm’s clients are foreign persons or businesses.

Daiwa Sb Investments doesn't advise any private funds.

Careers at Daiwa Sb Investments Ltd

The company employs 371 people that are either part- or full-time employees. 27 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.

Scott E Keller has been acting as President since 1 Oct 2014. Nobumasa Wakabayashi has served as the Chief Investment Officer since 1 Apr 1999. Yoshio Urata joined the executive team most recently as the Senior Managing Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Daiwa Securities Group Inc	Parent company	1 Apr 1999	25% - 50%	foreign
Trph Corporation	Holding company	1 Apr 1999	Other	52-2033045
Limited Sumitomo Mitsui Trust Bank	Shareholder	1 Apr 1999	Other	foreign
Sumitomo Mitsui Banking Corporation	Direct owner	1 Apr 1999	25% - 50%	foreign
Minoru Mori	President & ceo	1 Apr 1999	Other	340160
Katsuhiko Tamaki	Deputy president	1 Apr 1999	Other	4372232
Nobumasa Wakabayashi	Chief investment officer	1 Apr 1999	Other	860953
Norio Imai	Senior managing director	1 Apr 1999	Other	4372238
Isao Takemura	Managing director	1 Apr 1999	Other	4372242
Katsumi Ando	Managing director	1 Apr 1999	Other	4372246
Michael David Testa	Director	1 Apr 1999	Other	1778863
Hiroaki Hanao	Director	1 Apr 1999	Other	4372250
Koichi Ogawa	Executive officer	1 Apr 1999	Other	832762
Kcizo Iguchi	Executive officer	1 Apr 1999	Other	4372255
Tadami Nishida	Senior executive officer	1 Apr 1999	Other	4372261
Teruyoshi Goto	Senior executive officer	1 Apr 1999	Other	4372265
Hideo Tanaka	Executive officer	1 Apr 1999	Other	840234
Toshiyuki Ito	Executive officer	1 Apr 1999	Other	4372284
Hiroshi Aizawa	Executive officer	1 Apr 1999	Other	2153804
Hiroshi Miwa	Executive officer	1 Apr 1999	Other	4372286
Kohei Asakura	Executive officer	1 Apr 1999	Other	4372289
Shunsuke Ichijo	Executive officer	1 Apr 1999	Other	4370204
The Japan Research Institute Inc	Direct owner	1 Apr 1999	Other	foreign
Sb Leasing Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Sumigin General Finance Co Ltd	Direct owner	1 Apr 1999	Other	foreign
The Sumitomo Trust And Banking Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Sumitomo Mitsui Card Company Limited	Direct owner	1 Apr 1999	Other	foreign
Sumigin Guarantee Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Meiko Securities Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Tadaki Nishida	Senior executive officer	1 Apr 1999	Other	4372261
Smbc Leasing Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Smbc Finance Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Meiko National Securities Co Ltd	Direct owner	1 Apr 1999	Other	foreign
Kazuo Otaka	Managing director	1 Jun 2001	Other	354153
Katsumi Ando	Senior managing director	1 Jun 2002	Other	4372246
Hiroaki Hanao	Chief investment officer & managing director	1 Jun 2002	Other	4372250
Keizo Iguchi	Terminated	1 Jun 2002	Other	4372255
Shuichi Komori	President & ceo	1 Jun 2002	Other	273627
Yoshiyuki Takemoto	Director	1 Jun 2002	Other	4541927
Takashi Ishikawa	Executive officer	1 Jun 2002	Other	4541928
Kenjiro Noda	Director	1 Jun 2002	Other	4550581
Yuichi Kohashi	Executive officer	1 Oct 2002	Other	1874896
Toshio Ito	Deputy president	1 Dec 2002	Other	4632779
Katsuhiko Tamaki	Terminated	1 Dec 2002	Other	4372232
Inc. Sumitomo Mitsui Financial Group	Parent company	1 Feb 2003	25% - 50%	foreign
Sumitomo Mitsui Financial Group Inc.	Direct owner	1 Mar 2003	25% - 50%	foreign entity
Inc. Sumitomo Mitsui Financial Group	Parent company	1 Mar 2003	25% - 50%	foreign
Haruki Nakane	Compliance officer	1 Apr 2003	Other	4674910
Koji Ishida	Director	1 Jun 2003	Other	4674907
Tatsuei Saito	Director	1 Jun 2003	Other	4674909
Robert Todd Ruppert	Director	1 Mar 2004	Other	1768045
Hiroaki Hanao	Chief investment officer & senior managing director	1 May 2004	Other	4372250
Hiroshi Aizawa	Senior executive officer	1 May 2004	Other	2153804
Koichi Ogawa	Executive general manager & chief portfolio manager	1 Jun 2004	Other	832762
Junichiro Wakimizu	Director	1 Jun 2004	Other	4822268
Teisuke Kitayama	Director	1 Jun 2004	Other	4822272
Shunsuke Ichijo	Senior executive officer	1 Apr 2005	Other	4370204
Kazuo Otaka	Senior managing director	1 Apr 2005	Other	354153
Hiroshi Takeuchi	Senior managing director	1 Apr 2005	Other	4984204
Toshiaki Kawai	Managing director	1 Apr 2005	Other	4984206
Takashi Ishikawa	Senior executive officer	1 Apr 2006	Other	4541928
Toshiaki Kawai	Senior managing director	1 Apr 2006	Other	4984206
Nobuaki Omura	President & ceo	1 Apr 2006	Other	351614
Yasushi Terao	Deputy president	1 Apr 2006	Other	5131543
Takahide Uchida	Managing director	1 Apr 2006	Other	5131544
Yasushi Muramatsu	Executive officer	1 Apr 2006	Other	2881429
Takashi Nakamura	Executive officer	1 Apr 2006	Other	4530640
Toshiaki Kawai	Senior managing director & chief compliance officer	1 Apr 2007	Other	4984206
Toyoki Inaba	Executive officer	1 Apr 2007	Other	5319276
Katsuhiko Ishikawa	Executive officer	1 Apr 2007	Other	5319274
Shunsuke Ichijo	Managing director	1 Apr 2008	Other	4370204
Yuji Koseki	Executive officer	1 Apr 2008	Other	2262970
Kenji Hayashibe	Senior managing executive officer	1 Jun 2008	Other	5556504
Hiroaki Hanao	Senior managing director	1 Apr 2009	Other	4372250
Hiroshi Takeuchi	Senior managing director & chief investment officer	1 Apr 2009	Other	4984204
Fumihiko Yamanaka	Executive officer	1 Apr 2009	Other	5664791
Kiyotaka Hoshino	Executive officer	1 Apr 2010	Other	1233344
Shunsuke Ichijo	Senior managing director	1 Apr 2010	Other	4370204
Takahide Uchida	Senior managing director	1 Apr 2010	Other	5131544
Masamichi Yokoi	President & ceo	1 Apr 2010	Other	5144705
Satoshi Matsumoto	Director	1 Apr 2010	Other	2071930
Yasushi Yamanaka	Executive officer	1 Apr 2010	Other	5779168
Toshiaki Kawai	Deputy president	1 Apr 2011	Other	4984206
Katsuhiko Ishikawa	Executive officer & chief compliance officer	1 Apr 2011	Other	5319274
Yasushi Yamanaka	Director	1 Apr 2011	Other	5779168
Akihiko Kanamura	Senior executive officer	1 Apr 2011	Other	5909001
Taizo Hosoda	Executive officer	1 Apr 2011	Other	5908999
Toyoki Inaba	Managing director	1 Apr 2012	Other	5319276
Satoshi Matsumoto	Managing director	1 Apr 2012	Other	2071930
Yasushi Yamanaka	Managing director	1 Apr 2012	Other	5779168
Hiroaki Matsuoka	Executive officer	1 Apr 2012	Other	6054869
Flemming Madsen	Director	1 Jun 2012	Other	6092837
Masami Tada	President & ceo	1 Apr 2013	Other	1763220
Yoshio Urata	Senior managing director	1 Apr 2013	Other	6180078
Tetsuya Kawaguchi	Senior exective officer	1 Apr 2013	Other	2385509
Yuji Kuramoto	Executive officer	1 Apr 2013	Other	5518009
Akira Hasegawa	Executive offifer	1 Apr 2013	Other	1807197
Katsuhiko Ishikawa	Senior exective officer & chief compliance officer	1 Apr 2013	Other	5319274
Akihiko Kanamura	Managing director	1 Apr 2013	Other	5909001
Fujio Yanagihara	Managing director	1 Apr 2014	Other	1802471
Chikara Nakamura	Executive officer	1 Apr 2014	Other	2385586
Yasushi Muramatsu	Senior executive officer	1 Apr 2014	Other	2881429
Taizo Hosoda	Senior executive officer	1 Apr 2014	Other	5908999
Scott E Keller	Director	1 Oct 2014	Other	6414432
Scott Eric Keller	Non executive director	1 Oct 2014	Other	6474999
Yasushi Yamanaka	Senior managing director	1 Apr 2015	Other	5779168
Akinori Aoki	Executive officer	1 Apr 2015	Other	6474441
Makoto Shiraga	Executive officer	1 Apr 2015	Other	6474442
Makoto Kamiya	Director	1 Apr 2015	Other	6474444
Hidehiro Fujiwara	Executive officer	1 Apr 2015	Other	6474449
Yoshihiro Horikawa	Senior managing director	1 May 2015	Other	6489522
Jun Arai	Outside director	1 Apr 2016	Other	6633842
Hiroshi Otsuki	Outside director	1 Apr 2016	Other	6633843
Keiji Komagata	Senior managing executive officer	1 Apr 2016	Other	6633844
Takeshi Omasa	Executive officer	1 Apr 2016	Other	6633845
Teruhito Itami	Executi officer	1 Apr 2016	Other	6633846
Masaaki Goto	President &ceo	1 Apr 2016	Other	6633850
Yoshihiro Horikawa	Deputy president	1 Apr 2016	Other	6489522
Tateomi Fujino	Outside director	1 Oct 2016	Other	5559080
Tetsuya Kawaguchi	Senior managing director	1 Apr 2017	Other	2385509
Makoto Kamiya	Managing director	1 Apr 2017	Other	6474444
Hiroaki Saito	Senior managing director	1 Apr 2017	Other	6779099
Hideomi Ozaki	Executive officer	1 Apr 2017	Other	6779100
Satoru Sakai	Executive officer	1 Apr 2017	Other	6779102
Takaaki Baba	Director	1 Dec 2017	Other	6893462
Yoshio Urata	Senior managing director	1 Apr 2018	Other	6180078
Akira Hasegawa	Managing executive offifer	1 Apr 2018	Other	1807197
Akinori Aoki	Managing executive officer,compliance officer	1 Apr 2018	Other	6474441
Makoto Shiraga	Managing executive officer	1 Apr 2018	Other	6474442
Kenji Imamura	Senior managing executive officer	1 Apr 2018	Other	6934096
Kazushi Iwai	Executive officer	1 Apr 2018	Other	6779103

Indirect Owners

The SEC currently registers 3 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. T. Rowe Price Associates	Shareholder	1 May 1997	75% - 100%	105496
T Rowe Price Group Inc	Holding company	1 Dec 2000	75% - 100%	52-2264646
Sumitomo Mitsui Financial Group Inc.	Holding company	1 Dec 2002	75% - 100%	foreign

Based in Chiyoda Ku, Tokyo

The principal office where Daiwa Sb Investments Ltd performs its advisory services is located at 2 1 Kasumigaseki 3 Chome, Chiyoda Ku, Tokyo, 100 0013, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 81-3-6205-0542 or by fax 81-3-6205-0572. The normal business hours are 8.40am - 5.10pm on Monday - Friday. You can find more information about the New York firm at daiwasbi.co.jp.