# NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST

NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST of PHILADELPHIA, PA is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 105390
- Type: SEC-registered investment adviser
- SEC file number: 801-32108
- Location: 610 MARKET STREET, PHILADELPHIA, PA, 19106
- Phone: 215-531-6700
- Latest filing: 2026-07-29
- Regulatory AUM: $144.0B
- Discretionary AUM: $144.0B
- Clients: 778
- Accounts: 290

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other

## Officers, owners & control persons (48)

_Showing 25 of 48 people._

| Name | Role | Location |
| --- | --- | --- |
| David Forrester Connor | SVP/GENERAL COUNSEL/SECRETARY/MANAGING DIRECTOR | Philadelphia, PA |
| Michael Francis Capuzzi | SVP/US CHIEF OPERATIONS OFFICER/MANAGING DIRECTOR | Philadelphia, PA |
| Shawn Keith Lytle | CHIEF EXECUTIVE OFFICER/SENIOR MANAGING DIRECTOR | Philadelphia, PA |
| Richard No Middle Name Salus | SVP/GLOBAL HEAD OF FUND SERVICES/MANAGING DIRECTOR | — |
| Robert Peter Wolfangel | SVP/MANAGING DIRECTOR | — |
| Martin Joel Wolin | CHIEF COMPLIANCE OFFICER | — |
| Eugene James Chiulli | CHIEF FINANCIAL OFFICER/MANAGING DIRECTOR | — |
| Robert Stark | PRESIDENT/DEPUTY CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR | — |
| QUEK SEE YENG | DIRECTOR; EVP/MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/FIXED INCOME; EVP/MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/FIXED INCOME / DIRECTOR | — |
| DRISCOLL JUDE THADDEUS | EXECUTIVE VICE PRESIDENT HEAD OF FIXED INCOME; EXECUTIVE VICE PRESIDENT HEAD OF FIXED INCOME/INTERIM CEO; PRESIDENT/CHIEF EXECUTIVE OFFICER (+1 more) | — |
| DOWNES DAVID KEITH | TRUSTEE, EXECUTIVE VICE PRESIDENT, CFO, COO PRES. OF DMC | — |
| DODGE WILLIAM EVERETT | PRESIDENT OF DIA | — |
| FLANNERY RICHARD JOSEPH | TRUSTEE, EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL | — |
| HALDEMAN CHARLES EDGAR | TRUSTEE, CEO | — |
| WOLIN MARTIN JOEL | CHIEF COMPLIANCE OFFICER | — |
| HASTINGS JOSEPH HERBERT | EXECUTIVE VICE PRESIDENT/INTERIM CHIEF FINANCIAL OFFICER/TREASURER CONTROLLER; EXECUTIVE VICE PRESIDENT/INTERIM CHIEF FINANCIAL OFFICER/TREASURER/CONTROLLER; EXECUTIVE VICE PRESIDENT/TREASURER/CONTROLLER | — |
| COYNE PATRICK PAUL | EVP/MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/EQUITY; EVP/MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/EQUITY / DIRECTOR; EVP/MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/FIXED INCOME (+2 more) | — |
| MURRAY BRIAN LAWRENCE | SVP/CHIEF COMPLIANCE OFFICER; SVP/GLOBAL CHIEF COMPLIANCE OFFICER; VP/CHIEF COMPLIANCE OFFICER | — |
| RUSSO PHILIP NICHOLAS | EVP/CHIEF ADMINISTRATIVE OFFICER; EVP/CHIEF FINANCIAL OFFICER; EVP/CHIEF FINANCIAL OFFICER/CHIEF ADMINISTRATIVE OFFICER | — |
| BASSETT MARSHALL THOMPSON | SENIOR VICE PRESIDENT/CHIEF INVESTMENT OFFICER, GROWTH INVESTING | — |
| BRIST RYAN K | EVP/MANAING DIRECTOR/CHIEF INVESTMENT OFFICER, FIXED INCOME | — |
| SMITH THEODORE KELVIN | EVP/CHIEF OF SALES, CLIENT SERVICES & MARKETING | — |
| BRINKLEY LISA OUTLAND | SVP/COMPLIANCE DIRECTOR; VICE PRESIDENT/COMPLIANCE DIRECTOR | — |
| CONNORS TIMOTHY GERARD | SVP/CHIEF INVESTMENT OFFICER,VALUE INVESTING | — |
| MAESTRO RICHELLE S | EVP/GENERAL COUNSEL/SECRETARY; SVP/GENERAL COUNSEL/SECRETARY | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-09-19 | regulatory | THE ORDER ALLEGES THAT, BETWEEN JANUARY 1, 2017 AND APRIL 2021: (1) MIMBT VALUED CERTAIN COLLATERALIZED MORTGAGE-BACKED OBLIGATIONS ("CMOS") AT INFLATED PRICES; (2) MIMBT EXECUTED DEALER-INTERPOSED AND INTERNAL CROSS TRADES OF THOSE CMOS BETWEEN REGISTERED INVESTMENT COMPANY CLIENTS AND OTHER CLIENT… | Final | $79.8M |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/105390/brochure
- Similar advisers: https://search.stillhousedata.com/firm/105390/similar
- Related entities: https://search.stillhousedata.com/firm/105390/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/105390

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.