Mizuho Alternative Investments, LLC (New York)

Name: Mizuho Alternative Investments, LLC
Address: 757 Third Avenue, New York, NY, 10017
Telephone: 212-282-4739

Mizuho Alternative Investments, LLC is a large advisory firm based in New York. It manages $1.08 billion of regulatory assets for 24 client accounts. It has been registered with the SEC as an adviser since 2008 and has operated in the jurisdictions of California and New York.

Mizuho Alternative Investments provides portfolio management for investment companies, portfolio management for pooled investment vehicles, and non-discretionary investment advisory/ portfolio monitoring/consulting services / investment model licensing to inst. 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.

Mizuho Alternative Investments: assets under management

The assets under management (AUM) of Mizuho Alternative Investments, LLC is $1.08 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -82% since the beginning of its operation, and $1.04 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $1.08 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $45.15 million each.

Mizuho Alternative Investments has custody of $332.88 million in cash and securities for 10 clients in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Mizuho Alternative Investments, LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Mizuho Alternative Investments serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Mizuho Alternative Investments is pooled investment vehicles with 23 clients and $1.04 billion of assets under management. Among the 9 most similar advisory firms, Mizuho Alternative Investments has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $1.08 billion for 24 clients. 92% of the firm’s clients are foreign persons or businesses.

Mizuho Alternative Investments also advises several private funds. Namely, four hedge funds and one other private fund. The minimum investment commitment required of non-related persons ranges from $100,000 to $1,000,000.

Careers at Mizuho Alternative Investments, LLC

The company employs 26 people that are either part- or full-time employees. 50 percent of the 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 receive compensation from other entities for client referrals.

Tetsuji Toda joined the executive team most recently as the President And Chief Executive Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Ltd. Mizuho Securities Co.	Member	1 Apr 2007	Other	foreign
Ltd. Mizuho Bank	Member	1 Apr 2007	75% - 100%	5624234
Masatoshi Muto	Ceo	1 Apr 2007	Other	5426689
Kiyoshi Miyake	Cio	1 Apr 2007	Other	5426696
Samuel Judah Gottesman	Cio	1 Apr 2007	Other	1529048
Satoshi Iwanaga	Coo	1 Apr 2007	Other	5034550
Ltd. Mizuho Corporate Bank	Owner	1 Apr 2007	50% - 75%	5624234
Angelo Aldana	Chief compliance officer	1 Apr 2007	Other	5442449
Razi Uddin Amin	Cio	1 Mar 2008	Other	2551579
Candice Shakira Gallagher	Chief compliance officer	1 Jun 2008	Other	5342947
Jun Nozaki	Chief operating officer	1 Jan 2010	Other	5752901
Atsushi Takahashi	Chief executive officer	1 Apr 2011	Other	5921705
Tetsuji Toda	Chief operating officer	1 Mar 2012	Other	6043950
Tetsuji Toda	Chief operating officer	1 Apr 2012	Other	6043950
Tetsuji Toda	Chief administrative officer	1 Aug 2012	Other	6043950
Christopher Frederick Crawford	Chief operating officer	1 Aug 2012	Other	3079394
Morikuni Shimoyamada	Chief executive officer	1 Apr 2013	Other	6180685
Christopher Frederick Crawford	Chief operating officer & chief compliance officer	1 Mar 2014	Other	3079394
Christopher Frederick Crawford	Chief operating officer	1 May 2014	Other	3079394
Michael Ramon Schwenk	General counsel and chief compliance officer	1 May 2014	Other	5076821
Masanobu Yamaguchi	President and chief executive officer	1 Apr 2015	Other	5513432
Christopher Frederick Crawford	Chief operating officer and chief compliance officer	1 May 2015	Other	3079394
Christopher Frederick Crawford	Chief operating officer	1 Jun 2015	Other	3079394
Ksenia Yanovna Portnoy	General counsel and chief compliance officer	1 Jun 2015	Other	5509543
Naoki Mizuguchi	Chief administrative officer	1 Apr 2016	Other	6633742
Mizuho Americas Llc	Member, bank holding company	1 Jul 2016	75% - 100%	81-3006831
Tetsuji Toda	President and chief executive officer	1 Apr 2019	Other	6043950

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Mizuho Financial Group	Owner	1 Apr 2007	75% - 100%	foreign
Ltd Mizuho Bank	Owner	1 Jul 2016	75% - 100%	5624234

Based in New York

The principal office where Mizuho Alternative Investments, LLC performs its advisory services is located at 757 Third Avenue, New York, NY 10017, 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 212-282-4739 or by fax 212-282-4104. The normal business hours are 9:00am-5:00pm on Monday - Friday. You can find more information about the New York firm at mizuhobank.com/mai/index.html.