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Chief Compliance Officer · Daiwa Asset Management (america) LTD

Richard E. Spector

CRD 2304949 · Named on Form ADV at 2 SEC-registered advisers

At a glance

Daiwa Asset Management (america) LTD, an SEC-registered asset manager based in New York, NY with $6.0 billion in regulatory assets, lists Richard E. Spector on its Form ADV as Chief Compliance Officer. The SEC filings also name Richard at 1 other registered adviser.

Firms and roles

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Richard’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at each firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (9)

4 more people named with Richard on the same filings, with titles and firms. Free in Atlas with a free account.

See all 9 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Richard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.