Daiwa Capital Markets America Inc. has filed a 13F-NT report for the third quarter of 2026, marking a significant update in its investment strategy. This filing is crucial as it reflects the company’s ongoing adjustments in its portfolio management and investment activities.

Background

Daiwa Capital Markets America Inc., incorporated in New York, operates in the financial services industry. The company is known for providing various investment and financial services. Its recent filings include a series of 13F-NT submissions, with the latest dated October 29, 2026. The previous filings were submitted on July 31, 2026, May 13, 2026, and February 11, 2026.

What the Filing Says

The filing states that it is a 13F notice for the period ending September 30, 2026. The report was submitted by Holly Dito, the Chief Compliance Officer, who signed the document in New York on the same day it was filed.

Impact

This filing may affect investors and stakeholders in Daiwa Capital Markets America Inc. as it provides insights into the company’s investment strategies. The transparency offered by such filings is vital for maintaining trust and accountability in the financial services industry.

What's Next

The filing does not say what happens next.

Company Information

Daiwa Capital Markets America Inc. is incorporated in New York and operates under the Central Index Key (CIK) number 0001489000. The company's Employer Identification Number (EIN) is 135680329, and it has a fiscal year that ends on March 31.

Business Address

The business address for Daiwa Capital Markets America Inc. is 1251 6th Avenue, New York, NY 10020. The company can be contacted via phone at 212-612-7000.

Other Managers

The filing also mentions that another manager associated with Daiwa Capital Markets America Inc. is Daiwa Securities Group, which has its own 13F file number (028-14426).

Filing Details

This 13F-NT filing is categorized under the SEC Act of 1934, with the SEC file number 028-14430. The document was filed as of October 29, 2026, and reflects the investment positions of the company as of September 30, 2026.

Signature Information

The report was signed by Holly Dito, who holds the position of Chief Compliance Officer. Her contact number is 212-612-6414, and she signed the document in New York on the same day it was filed.

Missing Information

The filing does not include specific details about the investment positions or changes in the portfolio that Daiwa Capital Markets America Inc. has made during the reporting period.