Nomura Corporate Research and Asset Management Inc
Registered investment adviser · New York, NY · CRD #110411
Form ADV data as of 2026-09-01Regulatory assets
$37.56 billion
Total accounts
66
Employees
50
Disclosure events
1
Firm details
- Website: https://nomuracapitalmanagement.com/ncram/
- Telephone: (212) 667-9000
- SEC file number: 801-38965
- Most recent Form ADV filing: 2026-06-24
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 1 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- A court found involvement in a violation of investment-related statutes or regulations
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $37.08 billion |
| Non-discretionary regulatory assets under management | $481.6 million |
| Total regulatory assets under management | $37.56 billion |
| Discretionary accounts | 64 |
| Non-discretionary accounts | 2 |
| Total accounts | 66 |
| Regulatory assets under management attributable to non-U.S. persons | $14.48 billion |
People
| Total employees (excluding clerical) | 50 |
| Employees performing investment advisory functions (including research) | 25 |
| Employees who are registered representatives of a broker-dealer | 1 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 6 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | Yes |
| A related person has custody of client securities | Yes |
| Client funds and securities held in a related person's custody | $2.28 billion |
| Clients for whom a related person has custody | 8 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | Yes |
| Number of persons acting as qualified custodians for the firm's clients | 2 |
How the firm is compensated
Advisory services offered
Other business activities
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Recommends securities in which it has another proprietary interest
- Recommends securities for which it serves as underwriter or general partner
- Recommends securities in which it has another sales interest
- Receives soft dollar benefits
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Investment companies | 4 | $2.15 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 22 | $10.07 billion |
| Pension and profit sharing plans (not the participants or government plans) | 8 | $2.97 billion |
| State or municipal government entities (including government pension plans) | 20 | $18.43 billion |
| Insurance companies | 7 | $652.0 million |
| Sovereign wealth funds and foreign official institutions | 4 | $3.02 billion |
| Corporations or other businesses not listed above | 1 | $265.0 million |