Nomura Asset Management U.S.A. Inc.

Registered investment adviser · New York, NY · CRD #108222

Form ADV data as of 2026-09-01

Regulatory assets

$1.01 billion

Total accounts

Employees

Disclosure events

Firm details

Website: https://nomura-asset.com/about-us/namusa/
Telephone: (212) 667-1414
SEC file number: 801-12129
Most recent Form ADV filing: 2026-06-24
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$1.01 billion
Non-discretionary regulatory assets under management	$0
Total regulatory assets under management	$1.01 billion
Discretionary accounts	4
Non-discretionary accounts	0
Total accounts	4
Regulatory assets under management attributable to non-U.S. persons	$37.5 million

People

Total employees (excluding clerical)	26
Employees performing investment advisory functions (including research)	7
Employees who are registered representatives of a broker-dealer	0
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	0

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	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No

How the firm is compensated

A percentage of assets under managementPerformance-based fees

Advisory services offered

Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients

Other business activities

Commodity pool operator or commodity trading advisor

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Registered security-based swap dealerCommodity pool operator or commodity trading advisorFutures commission merchantBanking or thrift institutionTrust companyInsurance company or agencyReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

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	2	$765.6 million
Pooled investment vehicles (other than investment companies and BDCs)	1	$205.6 million
Pension and profit sharing plans (not the participants or government plans)	1	$37.5 million