Nikko Am International, Inc. (New York)

Nikko Am International, Inc. is a large advisory firm based in New York. It manages $8.42 billion of regulatory assets for 14 client accounts. It has been registered with the SEC as an adviser since 2005.

Nikko Am International provides portfolio management for pooled investment vehicles and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Nikko Am International: assets under management

The assets under management (AUM) of Nikko Am International, Inc. is $8.42 billion. The firm's AUM has grown by 101% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $407.64 million in discretionary accounts and $8.01 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $101.91 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $800.97 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nikko Am International, Inc. 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.

Careers at Nikko Am International, Inc.

Masanori Fujita has been acting as President since 1 Dec 2004. Citigroup Inc. joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Masanori Fujita	Director	1 Dec 2004	Other	4411579
Masao Matsuda	Ceo, president and director	1 Dec 2004	Other	2810991
Joseph Angelo Mendola	Chief compliance officer	1 Jan 2005	Other	2876577
Inc. Nikko Americas Holding Co.	Parent company	1 Feb 2005	75% - 100%	13-3940718
Masayuki Ishihara	Director and cio	1 Aug 2005	Other	2303029
Masao Matsuda	Cio-multi asset/manager of managers investments	1 Mar 2006	Other	2810991
Frank Donald Orzechowski	President and ceo	1 Mar 2006	Other	2156231
Gary W Mair	Chief compliance officer	1 Jun 2006	Other	5076006
Craig Philip Lehner	Chief legal officer	1 Aug 2006	Other	2160182
Nancy Jean Tyminski	Acting chief compliance officer	1 Mar 2007	Other	1338626
John Schrier	Chief legal counsel	1 Jul 2007	Other	5410593

Indirect Owners

The SEC currently registers 16 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Nikko Cordial Corporation	Shareholder	1 Mar 1984	75% - 100%	foreign entity
Nikko Cordial Corporation	Ultimate corporate parent	1 Apr 1999	75% - 100%	foreign entity
Nikko Principal Investments Japan Ltd	Shareholder	1 Mar 2004	75% - 100%	foreign entity
Nam Holdings Inc.	Shareholder	1 Mar 2004	50% - 75%	foreign entity
Ltd. (Nikko Am) Nikko Asset Management Co.	Owner of parent company	1 Sep 2004	75% - 100%	foregin entity
Ltd. (Japan) Nikko Asset Management Co.	Controlling shareholder	1 Sep 2004	75% - 100%	foregin entity
Nikko Asset Management Co Ltd	Shareholder	1 Sep 2004	75% - 100%	110997
Nikko Principal Investments Japan Ltd	Controlling shareholder	1 Jan 2007	75% - 100%	foreign entity
Nam Holdings Inc.	Controlling shareholder	1 Jan 2007	50% - 75%	foreign entity
Citigroup Japan Investments Ltd	Shareholder	1 Feb 2007	50% - 75%	foreign entity
Citigroup Japan Holdings Yk	Shareholder	1 Feb 2007	50% - 75%	foreign entity
Citigroup Inc.	Ultimate corporate parent	1 May 2007	75% - 100%	00-0000000
Citigroup Japan Investments Ltd	Controlling shareholder	1 May 2007	75% - 100%	foreign entity
Citigroup Inc.	Shareholder	1 Aug 2007	75% - 100%	52-1568099
Citigroup Japan Holdings Yk	Shareholder	1 Aug 2007	50% - 75%	foreign entity
Citigroup Japan Holdings Ltd	Shareholder	1 Aug 2007	50% - 75%	foreign entity

Based in New York

The principal office where Nikko Am International, Inc. performs its advisory services is located at 535 Madison Avenue, New York, NY 10022, 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 212-610-6160 or by fax 212-610-6161. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.