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Filing ID: 1920952
PDF: https://cal-access.sos.ca.gov/PDFGen/pdfgen.prg?filingid=1920952&amendid=2
Table: cvr2_registration
| filing_id |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| amend_id |
| 1 |
| 1 |
| 0 |
| 0 |
| 0 |
| 2 |
| 2 |
| line_item |
| 1 |
| 2 |
| 1 |
| 2 |
| 3 |
| 1 |
| 2 |
| rec_type |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| CVR2 |
| form_type |
| F601 |
| F601 |
| F601 |
| F601 |
| F601 |
| F601 |
| F601 |
| tran_id |
| 1 |
| 2 |
| 1 |
| 2 |
| 3 |
| 1 |
| 2 |
| entity_cd |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| entity_id |
| 1339032 |
| 1367755 |
| 1339032 |
| 1367755 |
| 1359861 |
| 1339032 |
| 1367755 |
| enty_naml |
| Freeman |
| Youngblood |
| Freeman |
| Youngblood |
| Hiramatsu |
| Freeman |
| Youngblood |
| enty_namf |
| Roy |
| Charles |
| Roy |
| Charles |
| Go |
| Roy |
| Charles |
| enty_namt |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| enty_nams |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
|
Table: cvr_registration
| filing_id |
| 1920952 |
| 1920952 |
| 1920952 |
| amend_id |
| 0 |
| 1 |
| 2 |
| rec_type |
| CVR |
| CVR |
| CVR |
| form_type |
| F601 |
| F601 |
| F601 |
| sender_id |
| 1339028 |
| 1339028 |
| 1339028 |
| filer_id |
| 1339028 |
| 1339028 |
| 1339028 |
| entity_cd |
| FRM |
| FRM |
| FRM |
| filer_naml |
| NOMURA ASSET MANAGEMENT U.S.A. INC. ('NAM-USA') |
| NOMURA ASSET MANAGEMENT U.S.A. INC. ('NAM-USA') |
| NOMURA ASSET MANAGEMENT U.S.A. INC. ('NAM-USA') |
| filer_namf |
| None |
| None |
| None |
| filer_namt |
| None |
| None |
| None |
| filer_nams |
| None |
| None |
| None |
| report_num |
| 000 |
| 001 |
| 002 |
| rpt_date |
| 2014-12-29 00:00:00 |
| 2015-06-03 00:00:00 |
| 2016-10-18 00:00:00 |
| ls_beg_yr |
| 2015 |
| 2015 |
| 2015 |
| ls_end_yr |
| 2016 |
| 2016 |
| 2016 |
| qual_date |
| 2011-05-19 00:00:00 |
| 2011-05-19 00:00:00 |
| 2011-05-19 00:00:00 |
| eff_date |
| None |
| None |
| None |
| bus_city |
| NEW YORK |
| NEW YORK |
| NEW YORK |
| bus_st |
| NY |
| NY |
| NY |
| bus_zip4 |
| 100197316 |
| 100197316 |
| 100197316 |
| bus_phon |
| 2126671873 |
| 2126671873 |
| 2126671873 |
| bus_fax |
| 2126671463 |
| 2126671463 |
| 2126671463 |
| bus_email |
| compliance@nomura-asset.com |
| compliance@nomura-asset.com |
| compliance@nomura-asset.com |
| mail_city |
| None |
| None |
| None |
| mail_st |
| None |
| None |
| None |
| mail_zip4 |
| None |
| None |
| None |
| mail_phon |
| None |
| None |
| None |
| sig_date |
| 2014-12-29 00:00:00 |
| 2015-06-03 00:00:00 |
| 2016-10-18 00:00:00 |
| sig_loc |
| None |
| New York, New York |
| New York, New York |
| sig_naml |
| Aoki |
| Aoki |
| Toyoshima |
| sig_namf |
| Hiromichi |
| Hiromichi |
| Takeshi |
| sig_namt |
| None |
| None |
| None |
| sig_nams |
| None |
| None |
| None |
| prn_naml |
| Aoki |
| Aoki |
| Toyoshima |
| prn_namf |
| Hiromichi |
| Hiromichi |
| Takeshi |
| prn_namt |
| None |
| None |
| None |
| prn_nams |
| None |
| None |
| None |
| sig_title |
| Chief Administrative Officer |
| Chief Administrative Officer |
| Chief Administrative Officer |
| stmt_firm |
| Nomura Asset Management U.S.A. Inc. |
| Nomura Asset Management U.S.A. Inc. |
| Nomura Asset Management U.S.A. Inc. |
| ind_cb |
| None |
| None |
| None |
| bus_cb |
| None |
| None |
| None |
| trade_cb |
| None |
| None |
| None |
| oth_cb |
| None |
| None |
| None |
| a_b_name |
| None |
| None |
| None |
| a_b_city |
| None |
| None |
| None |
| a_b_st |
| None |
| None |
| None |
| a_b_zip4 |
| None |
| None |
| None |
| descrip_1 |
| None |
| None |
| None |
| descrip_2 |
| None |
| None |
| None |
| c_less50 |
| None |
| None |
| None |
| c_more50 |
| None |
| None |
| None |
| ind_class |
| None |
| None |
| None |
| ind_descr |
| None |
| None |
| None |
| bus_class |
| None |
| None |
| None |
| bus_descr |
| None |
| None |
| None |
| auth_name |
| None |
| None |
| None |
| auth_city |
| None |
| None |
| None |
| auth_st |
| None |
| None |
| None |
| auth_zip4 |
| None |
| None |
| None |
| lobby_int |
| None |
| None |
| None |
| influen_yn |
| None |
| None |
| None |
| firm_name |
| None |
| None |
| None |
| newcert_cb |
| None |
| None |
| None |
| rencert_cb |
| None |
| None |
| None |
| complet_dt |
| None |
| None |
| None |
| lby_reg_cb |
| None |
| None |
| None |
| lby_604_cb |
| None |
| None |
| None |
| st_leg_yn |
| None |
| None |
| None |
| st_agency |
| None |
| None |
| None |
| lobby_cb |
| None |
| None |
| None |
| l_firm_cb |
| None |
| None |
| None |
|
Table: filer_filings
| filer_id |
| 1339028 |
| 1339028 |
| 1339028 |
| filing_id |
| 1920952 |
| 1920952 |
| 1920952 |
| period_id |
| 222 |
| 220 |
| 228 |
| form_id |
| F601 |
| F601 |
| F601 |
| filing_sequence |
| 1 |
| 0 |
| 2 |
| filing_date |
| 2015-06-03 00:00:00 |
| 2014-12-29 00:00:00 |
| 2016-10-18 00:00:00 |
| stmnt_type |
| 10002 |
| 10001 |
| 10002 |
| stmnt_status |
| 11001 |
| 11001 |
| 11001 |
| session_id |
| 2015 |
| 2015 |
| 2015 |
| user_id |
| YRODRIGU |
| ASAETERN |
| YRODRIGU |
| special_audit |
| 11003 |
| 11003 |
| 11003 |
| fine_audit |
| 11001 |
| 11001 |
| 11001 |
| rpt_start |
| 2015-06-03 00:00:00 |
| 2014-12-29 00:00:00 |
| 2016-10-18 00:00:00 |
| rpt_end |
| 2015-06-03 00:00:00 |
| 2014-12-29 00:00:00 |
| 2016-10-18 00:00:00 |
| rpt_date |
| None |
| None |
| None |
| filing_type |
| 22006 |
| 22006 |
| 22006 |
|
Table: filings
| filing_id |
| 1920952 |
| filing_type |
| 22001 |
|
Table: hdr
| filing_id |
| 1920952 |
| 1920952 |
| 1920952 |
| amend_id |
| 0 |
| 1 |
| 2 |
| rec_type |
| HDR |
| HDR |
| HDR |
| ef_type |
| CAL |
| CAL |
| CAL |
| state_cd |
| CA |
| CA |
| CA |
| cal_ver |
| 2.01 |
| 2.01 |
| 2.01 |
| soft_name |
| CAL-ACCESS OBJECT MODEL |
| CAL-ACCESS OBJECT MODEL |
| CAL-ACCESS OBJECT MODEL |
| soft_ver |
| 1.00 |
| 1.00 |
| 1.00 |
| hdrcomment |
| None |
| None |
| None |
|
Table: lemp
| filing_id |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| 1920952 |
| amend_id |
| 1 |
| 1 |
| 1 |
| 0 |
| 0 |
| 0 |
| 2 |
| 2 |
| 2 |
| line_item |
| 1 |
| 2 |
| 3 |
| 1 |
| 2 |
| 3 |
| 1 |
| 2 |
| 3 |
| rec_type |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| LEMP |
| form_type |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| F601P2A |
| client_id |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| cli_naml |
| Nomura Corporate Research and Asset Management Inc. ('NCRAM') |
| Nomura Global Alpha LLC |
| Nomura Asset Managment U.S.A. Inc. |
| Nomura Corporate Research and Asset Management Inc. ('NCRAM') |
| Nomura Global Alpha LLC |
| Nomura Asset Managment U.S.A. Inc. |
| Nomura Corporate Research and Asset Management Inc. ('NCRAM') |
| Nomura Global Alpha LLC |
| Nomura Asset Managment U.S.A. Inc. |
| cli_namf |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| cli_namt |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| cli_nams |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| cli_city |
| New York |
| New York |
| New York |
| New York |
| New York |
| New York |
| New York |
| New York |
| New York |
| cli_st |
| NY |
| NY |
| NY |
| NY |
| NY |
| NY |
| NY |
| NY |
| NY |
| cli_zip4 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| 10019-7316 |
| cli_phon |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| (212) 667-1873 |
| eff_date |
| 2010-04-01 00:00:00 |
| 2010-08-01 00:00:00 |
| 2011-05-19 00:00:00 |
| 2010-04-01 00:00:00 |
| 2010-08-01 00:00:00 |
| 2011-05-19 00:00:00 |
| 2010-04-01 00:00:00 |
| 2010-08-01 00:00:00 |
| 2011-05-19 00:00:00 |
| con_period |
| on going |
| ongoing |
| ongoing |
| on going |
| ongoing |
| ongoing |
| on going |
| ongoing |
| ongoing |
| agencylist |
| CalSTRS CalPERS UCAL |
| CalSTRS, CalPERS, UCAL |
| CalSTRS CalPERS UCAL |
| CalSTRS CalPERS UCAL |
| CalSTRS, CalPERS, UCAL |
| CalSTRS CalPERS UCAL |
| CalSTRS CalPERS UCAL |
| CalSTRS, CalPERS, UCAL |
| CalSTRS CalPERS UCAL |
| descrip |
| NCRAM manages separate accounts and private fund vehicles. SEE ATTACHMENT: I0320B3E |
| NGA manages separate accounts and private fund vehicles. SEE ATTACHMENT: I3581010 |
| Manages separate accts,funds and is 3rd party solicitor for affiliates. |
| NCRAM manages separate accounts and private fund vehicles. SEE ATTACHMENT: I0320B3E |
| NGA manages separate accounts and private fund vehicles. SEE ATTACHMENT: I3581010 |
| Manages separate accts,funds and is 3rd party solicitor for affiliates. |
| NCRAM manages separate accounts and private fund vehicles. SEE ATTACHMENT: I0320B3E |
| NGA manages separate accounts and private fund vehicles. SEE ATTACHMENT: I3581010 |
| Manages separate accts,funds and is 3rd party solicitor for affiliates. |
| subfirm_id |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| sub_name |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| sub_city |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| sub_st |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| sub_zip4 |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| sub_phon |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
| None |
|
Table: lobby_amendments
| filing_id |
| 1920952 |
| 1920952 |
| amend_id |
| 2 |
| 1 |
| rec_type |
| F605 |
| F605 |
| form_type |
| F601 |
| F601 |
| exec_date |
| 2016-10-18 00:00:00 |
| 2015-06-03 00:00:00 |
| from_date |
| 2015-01-01 00:00:00 |
| 2015-01-01 00:00:00 |
| thru_date |
| 2016-12-31 00:00:00 |
| 2016-12-31 00:00:00 |
| add_l_cb |
| None |
| None |
| add_l_eff |
| None |
| None |
| a_l_naml |
| None |
| None |
| a_l_namf |
| None |
| None |
| a_l_namt |
| None |
| None |
| a_l_nams |
| None |
| None |
| del_l_cb |
| None |
| X |
| del_l_eff |
| None |
| 2015-03-27 00:00:00 |
| d_l_naml |
| None |
| Hiramatsu |
| d_l_namf |
| None |
| Go |
| d_l_namt |
| None |
| None |
| d_l_nams |
| None |
| None |
| add_le_cb |
| None |
| None |
| add_le_eff |
| None |
| None |
| a_le_naml |
| None |
| None |
| a_le_namf |
| None |
| None |
| a_le_namt |
| None |
| None |
| a_le_nams |
| None |
| None |
| del_le_cb |
| None |
| None |
| del_le_eff |
| None |
| None |
| d_le_naml |
| None |
| None |
| d_le_namf |
| None |
| None |
| d_le_namt |
| None |
| None |
| d_le_nams |
| None |
| None |
| add_lf_cb |
| None |
| None |
| add_lf_eff |
| None |
| None |
| a_lf_name |
| None |
| None |
| del_lf_cb |
| None |
| None |
| del_lf_eff |
| None |
| None |
| d_lf_name |
| None |
| None |
| other_cb |
| X |
| None |
| other_eff |
| 2016-08-25 00:00:00 |
| None |
| other_desc |
| Change in Responsible Officer from Hiromichi Aoki to Takeshi Toyoshima |
| None |
| f606_yes |
| None |
| X |
| f606_no |
| None |
| None |
|