Form D · Hedge Fund

Nomura Japan Dual Alpha Fund, Ltd.

New York, NY · CIK 0001610858

Offering snapshot reported Jun 13, 2014 · SEC filing

Reported sold: $8.86M
Investors reported: 1
Minimum accepted: $1M
First sale: May 30, 2014

What changed?

Latest filing versus its linked predecessor, where available.

No comparable changes in the displayed metrics.

Filing history

Scroll to see all columns →

Filed	Filing type	Reported sold	Change vs linked filing	Investors	Source
Jun 13, 2014	Initial	$8,860,000	No comparison	1	SEC filing

Offering details

Securities: Pooled investment fund
Exemptions: 06b, 3C, 3C.7
Duration over one year: Yes
Business combination: No

Sales commissions: $0
Finders' fees: $0
Form D file number: 021-219188

Source: Form D, filed Jun 13, 2014. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

NOMURA JAPAN DUAL ALPHA FUND, LTD

Investment adviser: NOMURA ASSET MANAGEMENT U.S.A. INC

Gross asset value: $28.2M
Beneficial owners: 1
ADV minimum commitment: $1M

Reported in Form ADV on Jul 13, 2015. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator INTERNATIONAL FUND SERVICES (N.A.) LLC BOSTON, Massachusetts, 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 BOSTON, Massachusetts, United States Related to adviser: No

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

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

Prime broker MORGAN STANLEY & CO. INTERNATIONAL PLC LONDON, United Kingdom

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 SECURITIES INTERNATIONAL INC
CRD 4297 · SEC 801-72991

Filing source

Form ADV 934492 · Jul 13, 2015 · Schedule D 7.B.(1), fund 805-8738599369

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

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
Name	Reported role
Ian Goodall	Director
Yutaka Itabashi	Director
Nomura Asset Management U.S.A. Inc.	Promoter
Tim Woolaver	Director

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:

309 West 49 Th Street, 19 Th Floor
New York, NY, 10019