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DAIWA ASSET MANAGEMENT (AMERICA) LTD

NEW YORK, NY · CRD 126191 · IAPD ↗ · 212-612-6254

$5.96BRegulatory AUM
11Advisory reps
12Employees
0Clients
n/aPlanning clients
0Private funds
1States
0Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

64
July 2026 — DAIWA ASSET MANAGEMENT (AMERICA) LTD grew from 7 to 11 advisory reps.
Advisory representative count grew materially (>=20% or >=5 reps).
CRMRecruiting & transitionsComplianceFinancial planning software
65
July 2026 — DAIWA ASSET MANAGEMENT (AMERICA) LTD reported RAUM up 246% ($1.72B -> $5.96B).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
45
July 2024 — DAIWA ASSET MANAGEMENT (AMERICA) LTD shrank from 8 to 6 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.