Daiwa Sb Investments Usa Ltd (New York)

Name: Daiwa Sb Investments Usa Ltd
Address: 32 Old Slip, 11 Th Floor, New York, NY, 10005 3504
Telephone: 212-612-8500

Daiwa Sb Investments Usa Ltd is an adviser based in New York. It has been registered with the SEC as an adviser since 2001.

Daiwa Sb Investments U provides 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.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Daiwa Sb Investments Usa Ltd for their services and products based on a percentage of assets under management. 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.

Careers at Daiwa Sb Investments Usa Ltd

The company employs 5 people that are either part- or full-time employees. No employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Shinichiro Uehara has been acting as President since 1 Jun 2013. Inc Sumitomo Mitsui Financial Group joined the executive team most recently as the Indirect Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nobumasa Wakabayashi	Director	1 Jun 1991	Other	860953
Yoshiaki Uematsu	Senior vice president	1 Aug 1992	Other	1780102
Stephen P Connelly	Portfolio manager	1 Jun 1994	Other	4370193
Kiyotaka Hoshino	President	1 Apr 1996	Other	1233344
Daiwa Sb Investments Ltd	Shareholder	1 Apr 1999	75% - 100%	110077
Margaret Rose Haggerty	Portfolio manager	1 Apr 1999	Other	2106913
Shunsuke Ichijo	Director	1 Nov 2000	Other	4370204
Koichi Ogawa	Director	1 Jun 2002	Other	832762
Yoshiaki Uematsu	Managing director	1 Nov 2002	Other	1780102
Shunsuke Ichijo	Chairman	1 Nov 2002	Other	4370204
Yoshiaki Uematsu	Chief compliance officer	1 Apr 2004	Other	1780102
Kiyotaka Hoshino	Chairman	1 Apr 2005	Other	1233344
Hideo Tanaka	President & ceo	1 Nov 2006	Other	840234
Hitomi Matsubara	Compliance officer	1 Mar 2009	Other	5724330
Yoshiaki Uematsu	Chief compliance officer	1 Apr 2009	Other	1780102
Hitomi Matsubara	Chief compliance officer	1 Apr 2009	Other	5724330
Hitomi Matsubara	Chief compliance officer	1 Apr 2010	Other	5724330
Akihiko Kanamura	Director	1 Apr 2011	Other	5909001
Yoshiaki Uematsu	Chief compliance officer	1 Jun 2011	Other	1780102
Toshihisa Tamamura	Compliance officer	1 Jun 2011	Other	5949236
Shinichiro Uehara	Director	1 Jun 2013	Other	2071933
Toshihisa Tamamura	Chief compliance officer	1 Jul 2013	Other	5949236
Michio Obara	Director	1 Oct 2013	Other	6257699
Sunao Otsuka	Director	1 May 2015	Other	6084908
Hisashi Shiraki	Director	1 Jun 2015	Other	6504902
Chikara Nakamura	Director	1 Oct 2015	Other	2385586
Eiji Fukumuro	Director	1 Oct 2017	Other	4343170
Hideomi Ozaki	Director	1 Sep 2018	Other	6779100
Smam	Shareholder	1 Apr 2019	75% - 100%	301509
Lmited Sumitomo Mitsui Ds Asset Management Company	Shareholder	1 Apr 2019	75% - 100%	foreign

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Daiwa Securities Group Inc.	Indirect shareholder	1 Apr 1999	25% - 50%	foreign
Limited The Sumitomo Bank	Indirect shareholder	1 Apr 1999	25% - 50%	foreign
Daiwa Securities Group Inc.	Indirect shareholder	1 Aug 1999	25% - 50%	foreign
The Sumitomo Mitsui Banking Corporation	Indirect shareholder	1 Apr 2001	25% - 50%	foreign
Inc Sumitomo Mitsui Financial Group	Indirect shareholder	1 Apr 2001	25% - 50%	foreign
Inc Sumitomo Mitsui Financial Group	Indirect shareholder	1 Feb 2003	25% - 50%	foreign
Inc Sumitomo Mitsui Financial Group	Indirect shareholder	1 Apr 2019	50% - 75%	foreign

Based in New York

The principal office where Daiwa Sb Investments Usa Ltd performs its advisory services is located at 32 Old Slip, 11 Th Floor, New York, NY 10005 3504, 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 212-612-8500 or by fax 212-612-8518. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at daiwasbi.co.jp.