The Nikko Securities Co. International, Inc. (New York)

The Nikko Securities Co. International, Inc. is a large advisory firm based in New York. It manages $1.84 billion of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2002 and has operated in the jurisdiction of New York.

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

The Nikko Securities Co. International: assets under management

The assets under management (AUM) of The Nikko Securities Co. International, Inc. is $1.84 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 417% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $1.84 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $367.6 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay The Nikko Securities Co. International, Inc. for their services and products based on a percentage of assets under management 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 The Nikko Securities Co. International, Inc.

John G Daniello has been acting as President since 1 Nov 2001. Hiroki Tsujimura joined the executive team most recently as the President And Ceo.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Nikko Americas Holding Co.	Owner	1 Apr 1997	75% - 100%	13-3940718
Masao Matsuda	President, ceo & director	1 Jul 1999	Other	2810991
Andrew Burke Weisman	Evp	1 Jul 1999	Other	1613011
Paul James Hodermarsky	Svp, cfo	1 Jul 1999	Other	1072237
Joseph Angelo Mendola	Executive vice president, director of compliance, director	1 Jun 2000	Other	2876577
Marc Harry Steglitz	Director	1 Jul 2001	Other	xxx-xx-xxxx
Hideo Abe	Director	1 Jul 2001	Other	non-us national
John Gerard Mr. Daniello	Director	1 Sep 2001	Other	4582625
John G Daniello	Director	1 Nov 2001	Other	xxx-xx-xxxx
John Gerard Mr. Daniello	Director	1 Nov 2001	Other	4582625
Jose Mario Qunitana	Executive vice president	1 Apr 2002	Other	xxx-xx-xxxx
Shuichi Kondo	Director	1 Apr 2002	Other	xxx-xx-xxxx
Hiroki Tsujimura	Executive vice president	1 Oct 2003	Other	2302926
Jeff Yimyu Lee	Executive vice president	1 Nov 2004	Other	2519049
Hiroki Tsujimura	President and ceo	1 Dec 2004	Other	2302926

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Nikko Cordial Corporation	0wner	1 Dec 1959	75% - 100%	foreign
Nikko Securities Global Holdings Ltd.	Owner	1 Apr 1997	75% - 100%
Nikko Cordial Securities Inc.	Owner	1 Oct 2001	75% - 100%
Nikko Cordial Corporation	0wner	1 Jun 2004	75% - 100%	00-0000000
Ltd. Nikko Asset Management Co.	Owner	1 Sep 2004	75% - 100%	foreign

Based in New York

The principal office where The Nikko Securities Co. 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 212-610-6100 or by fax 212-610-6140. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday.