SMBC Nikko Securities Inc.
Private fund marketer or placement agent · 2 offices named in filings · 18 private funds on SEC Form ADV
Advisers' Form ADV filings name SMBC Nikko Securities Inc. as marketer or placement agent to 14, prime broker to 3 and custodian to 2 private funds, 18 funds in all. It ranks No. 265 of 761 marketers and placement agents by number of private funds served.
Rankings
Funds served, by type
- Hedge funds11
- Private equity funds4
- Venture capital funds2
- Real estate funds1
Offices named in SEC filings
The office each fund's adviser names for SMBC Nikko Securities Inc. on Form ADV, with the number of funds naming it. A fund can name more than one office. Place names are as filed and can contain errors.
- Tokyo, Japan6 funds
- Chiyoda-ku, Japan1 fund
Where its clients are
State of the funds' U.S. advisers.
- New York11
- California4
- Washington1
Where the funds are organized
- United States7
- Cayman Islands7
- Luxembourg2
- Canada1
- Japan1
Private funds that name SMBC Nikko Securities Inc. (9 listed here)
9 more funds name SMBC Nikko Securities Inc.: feeder funds, single-deal vehicles and funds listed from Form D, shown on their own or their adviser's pages.
Names as filed
SMBC Nikko Securities Inc.; SMBC Nikko Securities, Inc; SMBC Nikko Securities Inc; SMBC Nikko Securities, Inc.
From SEC filings, not verified. Counts are the number of private funds whose adviser names the firm in that role on Form ADV (Schedule D, Section 7.B.(1)), in the SEC's public Form ADV data through filings made by Dec 26, 2024. A fund can name several firms in the same role. Names are grouped automatically (spelling variants and, for the largest firms, their affiliated entities), which can be incomplete. Rankings count funds only; they do not reflect quality, assets served or fees, and are not a recommendation. Corrections: hello@altmountain.com.