Daiwa Asset Management (America) Ltd.
- Regulatory AUM
- $6.0B
- Discretionary
- $6.0B
- Clients
- 17
- Avg AUM / client
- $351M
- Accounts
- 17
- Employees
- 12
AUM over time
Annual snapshots from Form ADV filings · as of Jun 23, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Pooled investment vehicles (non-investment companies) | 16 | $1.9B | 31.4% |
| Insurance companies | 1 | $4.1B | 68.6% |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Spagnoletti, Efraim | Chief Compliance Officer | Aug 2014 (12y) | Less than 5% | |
| Tahara, Atsushi | Director | Apr 2018 (8y) | Less than 5% | |
| Horinouchi, Yoshihiro | President | Apr 2023 (3y) | Less than 5% | |
| Furukawa, Shintaro | Director | Jun 2023 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Daiwa Asset Management Co. Ltd. | Share Holder | Aug 1990 | A | 75% or more |
| Daiwa Securities Group Inc. | Share Holder | Aug 1999 | B | ≈ 56.25% – 100% via Daiwa Asset Management Co. Ltd. |
| Japan Post Insurance | Acquisition Of 20% Capital | Oct 2024 | B | GP / trustee / elected manager of Daiwa Asset Management Co. Ltd. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Daiwa Securities Group Inc.: 75% – 100% of Daiwa Asset Management Co. Ltd. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 06/23/2026 | 1.2 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Other fees
- • FEES RECEIVED FROM SERVICES PROVIDED TO PARENT COMPANY
Services
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Custody Bank Of Japan, Ltd. $4.1B (69% of AUM) Jun 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Jun 23, 2026.
View current Form ADV (SEC/IAPD) ↗