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DAIWA SB INVESTMENTS LTD

Advisory

N·CHIYODA-KU, TOKYO

Data as of May 23, 2019 · Source: SEC Form ADV

Total AUM

$47.8B

1-Year AUM Growth

-15.8%

3-Year CAGR

-0.2%

Employees

99

Assets Under Management

Total AUM$47.8B

Discretionary AUM$47.8B

Non-Discretionary AUM$42M

Discretionary %99.9%

Total Clients—

Team

Total Employees99

Investment Advisers371

Employee Growth (1Y)—

Filing History

Total Filings on Record70

First FilingApr 26, 2001

Latest FilingMay 23, 2019

🔒 Full AUM trend chart and 70 historical filings spanning 18+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on DAIWA SB INVESTMENTS LTD

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.