NOMURA GLOBAL ALPHA LLC – investment adviser, $149M regulatory AUM (Form ADV)

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	3	$149,489,378	100.0%

Filing source

Form ADV 1340182 · Aug 16, 2019 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

3 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

NGA CAPITAL FUND LIMITEDHedge Fund · Last reported Aug 16, 2019$63.9MGross asset value

Feeder funds

NGA CAPITAL FEEDER FUND LIMITED
NGA CAPITAL FEEDER FUND L.P.
NGA CAPITAL JPY FEEDER TRUST

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), L.L.C. PRINCETON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GEORGETOWN, GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No

Marketer NOMURA ASSET MANAGEMENT CO., LTD. TOKYO, Japan Related to adviser: Yes

Marketer NOMURA ASSET MANAGEMENT U.K. LIMITED LONDON, United Kingdom Related to adviser: Yes

Marketer NOMURA SECURITIES INTERNATIONAL, INC. NEW YORK, New York, United States Related to adviser: Yes

Prime broker CITIBANK GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

ERNST & YOUNG LTD.
PCAOB 1655

STATE STREET BANK AND TRUST COMPANY
LEI 571474TGEMMWANRLN572

NOMURA ASSET MANAGEMENT CO., LTD.
CRD 110814 · SEC 801-24357

NOMURA ASSET MANAGEMENT U.K. LIMITED
CRD 110815 · SEC 801-25922

NOMURA SECURITIES INTERNATIONAL, INC.
CRD 4297 · SEC 801-72991

Fund details & source

Fund ID: 805-1355034730
Reported beneficial owners: 7
Minimum commitment: $1M
Form D file number: 021-163803

Form ADV 1340182 · Aug 16, 2019 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NGA INSTITUTIONAL LIBOR FUND LIMITEDHedge Fund · Last reported Jul 13, 2015$106MGross asset value

Feeder funds

NGA INSTITUTIONAL LIBOR FEEDER FUND LIMITED

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor ERNST & YOUNG LTD. GEORGETOWN, GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No

Marketer NOMURA ASSET MANAGEMENT CO., LTD. TOKYO, Japan Related to adviser: Yes

Marketer NOMURA ASSET MANAGEMENT U.K. LIMITED LONDON, United Kingdom Related to adviser: Yes

Marketer NOMURA SECURITIES INTERNATIONAL INC NEW YORK, New York, United States Related to adviser: Yes

Prime broker CITIGROUP GLOBAL MARKETS INC. NEW YORK, New York, United States

Provider details

Annual audit: Yes
Prime brokers: Yes
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

NOMURA ASSET MANAGEMENT CO., LTD.
CRD 110814 · SEC 801-24357

NOMURA ASSET MANAGEMENT U.K. LIMITED
CRD 110815 · SEC 801-25922

NOMURA SECURITIES INTERNATIONAL INC
CRD 4297 · SEC 801-72991

Fund details & source

Fund ID: 805-2620103929
Reported beneficial owners: 1
Minimum commitment: $5M
Form D file number: 021-150228

Form ADV 934488 · Jul 13, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

NGA FUTURES FUND LIMITEDHedge Fund · Last reported Jul 5, 2017$4.5MGross asset value

Feeder funds

NGA FUTURES FEEDER FUND LIMITED

Fund administrator INTERNATIONAL FUND SERVICES (N.A.), L.L.C. PRINCETON, New Jersey, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor ERNST & YOUNG LTD GEORGETOWN, GRAND CAYMAN, Cayman Islands

Custodian STATE STREET BANK AND TRUST COMPANY KANSAS CITY, Missouri, United States Related to adviser: No

Marketer NOMURA ASSET MANAGEMENT CO., LTD. TOKYO, Japan Related to adviser: Yes

Marketer NOMURA ASSET MANAGEMENT U.K. LIMITED LONDON, United Kingdom Related to adviser: Yes

Marketer NOMURA SECURITIES INTERNATIONAL, INC. NEW YORK, New York, United States Related to adviser: Yes

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

NOMURA ASSET MANAGEMENT CO., LTD.
CRD 110814 · SEC 801-24357

NOMURA ASSET MANAGEMENT U.K. LIMITED
CRD 110815 · SEC 801-25922

NOMURA SECURITIES INTERNATIONAL, INC.
CRD 4297 · SEC 801-72991

Fund details & source

Fund ID: 805-4997330474
Reported beneficial owners: 1
Minimum commitment: $100K

Form ADV 1125712 · Jul 5, 2017 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Aug 16, 2019. View historical filings

Reported services

Pooled investment vehicle management · Business portfolio management

Compensation

Percentage of assets · Performance-based

Principal office

WORLDWIDE PLAZA, 309 WEST 49TH STREET
NEW YORK, NY, 10019-7316, United States

CRD 147302

Filing source

Form ADV 1340182 · Aug 16, 2019 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.