Daiwa Sb Investments Usa Ltd (New York)


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.

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