NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST of PHILADELPHIA, PA is an SEC-registered investment adviser (CRD 105390). Regulatory assets under management: $144.0B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos, Other.
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 | — |
| 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 |