Diam U.S.A., Inc. (New York)

Name: Diam U.S.A., Inc.
Address: 400 Park Avenue, New York, NY, 10022
Telephone: 212-350-7650

Diam U.S.A., Inc. is a large advisory firm based in New York. It manages $3.05 billion of regulatory assets for 43 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdiction of New York.

Diam U.S.A. provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and information services for the parent company. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Diam U.S.A.: assets under management

The assets under management (AUM) of Diam U.S.A., Inc. is $3.05 billion. The firm's AUM has gone down by -53% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.91 billion in discretionary accounts and $1.14 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $59.83 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $103.63 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Diam U.S.A., Inc. for their services and products based on a percentage of assets under management, hourly charges, and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Diam U.S.A., Inc.

Akira Noguchi has been acting as President since 1 Apr 2011. Akitoshi Masuda joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ltd. Diam Co.	Direct parent company	1 Apr 2000	75% - 100%	110843
Ltd. Asset Management One Co.	Direct parent company	1 Apr 2000	75% - 100%	110843
Ltd. Diam Asset Management Co.	Direct parent company	1 Apr 2000	75% - 100%	foreign
Toru Nagashima	President and chief executive officer and director	1 Apr 2004	Other	4870879
Masataka Hama	Director	1 Jun 2004	Other	4718364
Kenji Shimoyama	Executive vice president and director	1 Sep 2004	Other	4870875
Tammy Eisenberg	Chief compliance officer	1 Sep 2005	Other	1701602
Masami Ueda	Director	1 Jul 2006	Other	5172417
Atsushi Miyazaki	President, ceo & director	1 Apr 2008	Other	5519118
Hiroshi Ikeda	Director	1 Apr 2008	Other	5519566
Akira Noguchi	Director	1 Apr 2008	Other	5172418
Atushi Saito	Director	1 Apr 2010	Other	5686083
Akira Noguchi	Director	1 Apr 2011	Other	5172418
Watatani Eiichi	President & ceo	1 Apr 2011	Other	5906123
Hajime Fukuzawa	Director	1 Apr 2012	Other	6052605
Anna Timone	Chief compliance officer	1 Apr 2012	Other	4683415
Mary Fegan	Chief compliance officer	1 Dec 2013	Other	6282991
Kayoko Hashimoto	Chief compliance officer	1 Mar 2014	Other	6311396
Michiharu Maeda	President & ceo	1 Jul 2014	Other	6378033
Masahide Komatsu	Executive vice president	1 Jun 2015	Other	6632167
Akitoshi Masuda	Director	1 Oct 2016	Other	6712395

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
The Dai Ichi Life Insurance Company	Ultimate and indirect parent	1 Jun 1994	50% - 75%	foreign
The Dai Ichi Mutual Life Insurance Company	Ultimate and indirect parent	1 Jun 1994	50% - 75%	foreign
Mizuho Financial Group	Ultimate and indirect parent	1 Mar 2003	50% - 75%	foreign
Dai Ichi Life Holdings Inc.	Ultimate and indirect parent	1 Oct 2016	25% - 50%	foreign

Based in New York

The principal office where Diam U.S.A., Inc. performs its advisory services is located at 400 Park Avenue, New York, NY 10022, 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 212-350-7650 or by fax 212-354-1883. The normal business hours are 9 a.m. - 5 p.m. on Monday - Friday. You can find more information about the New York firm at diamusa.com.