Nikko Alternative Asset Management, Inc. (New York)

Nikko Alternative Asset Management, Inc. is a large advisory firm based in New York. It manages $12.86 billion of regulatory assets for 28 client accounts. It has been registered with the SEC as an adviser since 2005.

Nikko Alternative Asset Management provides portfolio management for pooled investment vehicles and pension consulting 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 Alternative Asset Management: assets under management

The assets under management (AUM) of Nikko Alternative Asset Management, Inc. is $12.86 billion. The firm's AUM has grown by 645% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $5.56 billion in discretionary accounts and $7.3 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $427.87 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $486.51 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nikko Alternative Asset Management, Inc. for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. 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 Nikko Alternative Asset Management, Inc.

Marc Harry Steglitz has been acting as President since 1 Jul 2001. Hiroki Tsujimura joined the executive team most recently as the Cio Alternative Investments.

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
Paul James Hodermarsky	Svp, cfo	1 Jul 1999	Other	1072237
Joseph Angelo Mendola	Executive vice president, chief compliance officer, director	1 Jun 2000	Other	2876577
Marc Harry Steglitz	Director	1 Jul 2001	Other	xxx-xx-xxxx
John Gerard Mr. Daniello	Director	1 Sep 2001	Other	4582625
Jeff Yimyu Lee	Executive vice president	1 Nov 2004	Other	2519049
Jeff Yim Yu Lee	Executive vice president, director	1 Nov 2004	Other	2519049
Hiroki Tsujimura	President and ceo	1 Dec 2004	Other	2302926
Gary W Mair	General counsel, cco, senior vice president	1 Oct 2005	Other	5076006
Hiroki Tsujimura	Cio and director	1 Mar 2006	Other	2302926
Frank Donald Orzechowski	President	1 Mar 2006	Other	2156231
Frank Donald Orzechowski	Cfo	1 Aug 2006	Other	1072237
Craig Philip Lehner	Chief legal officer	1 Aug 2006	Other	2160182
Craig Philip Lehner	Chief legal officer	1 Sep 2006	Other	2160182
Nancy Jean Tyminski	Acting chief compliance officer	1 Mar 2007	Other	1338626
Masayuki Ishihara	Senior portfolio manager	1 Mar 2007	Other	2303029
John Schrier	Chief legal counsel	1 Jul 2007	Other	5410593
Hiroki Tsujimura	Cio alternative investments	1 Nov 2007	Other	2302926
Jeff Yim Yu Lee	Executive vice president	1 Nov 2007	Other	2519049
Frank Donald Orzechowski	President, ceo & cfo	1 Nov 2007	Other	2156231
Masayuki Ishihara	Co-cio fi, eq, & asset allocation	1 Nov 2007	Other	2303029
John Schrier	Chief counsel	1 Nov 2007	Other	5410593
Laurie Ann Vicari	Chief compliance officer	1 Nov 2007	Other	4937221
John Gerard Daniello	Director	1 Nov 2007	Other	4582625
Marc Harry Steglitz	Director	1 Nov 2007	Other	2481514
Thomas Michael Juterbock	Co-cio fi, eq, & asset allocation	1 Nov 2007	Other	1722682
Elliot Weinstein	Secretary	1 Nov 2007	Other	5465215

Indirect Owners

The SEC currently registers 12 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Nikko Cordial Corporation	0wner	1 Dec 1959	75% - 100%	foreign
Nikko Cordial Corporation	Shareholder	1 Mar 1984	75% - 100%	foreign entity
Nikko Principal Investments Japan Ltd	Shareholder	1 Mar 2004	75% - 100%	foreign entity
Inc. Nam Holdings	Shareholder	1 Mar 2004	50% - 75%	foreign entity
Ltd. Nikko Asset Management Co.	Owner	1 Sep 2004	75% - 100%	foreign
Nikko Asset Management Co Ltd	Shareholder	1 Sep 2004	75% - 100%	110997
Citigroup Inc.	Shareholder	1 May 2007	75% - 100%	00-0000000
Citigroup Japan Investments Ltd	Shareholder	1 May 2007	75% - 100%	foreign entity
Citigroup Japan Holdings Yk	Shareholder	1 May 2007	50% - 75%	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 Alternative Asset Management, 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.