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Alison Simpson

Nomura Investment Management Business Trust
25 Years of Experience
Moorestown, NJ
Broker
View SEC Summary
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Alison Simpson is a registered investment advisor at Nomura Investment Management Business Trust, based in Moorestown, NJ, with 25 years of industry experience. Alison is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Socially Responsible Investing. Their firm serves 287 clients with $140B in assets under management.

Nomura Investment Management Business Trust
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
53 advisors
Number of Clients
287 clients
Average Client Portfolio
$501.9M average
Assets Under Management
$144.0B

Fee Structure

Minimum Investment:$25M
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $25.0M1.00%
$25.0M - $50.0M0.80%
$50M+0.75%

Representative fee schedule varies significantly by strategy and asset class. The schedule shown reflects the highest standard equity strategy (US Small Cap Value Equity). Fixed income strategies generally range from 0.10% to 0.60%. Fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Moorestown, NJ

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Nomura Investment Management Business Trust
April 2020 - Present · 6 yrs 6 mos
Delaware Distributors, L.P.
October 2018 - Present · 8 yrs
Delaware Distributors, L.P.Broker
October 2018 - Present · 8 yrs
Previous Registrations
Delaware Capital Management Advisers, INC
October 2018 - April 2020 · 1 yr 6 mos
Blackrock Investments, LLCBroker
September 2006 - October 2018 · 12 yrs 1 mo
Blackrock Investment Management, LLC
September 2006 - October 2018 · 12 yrs 1 mo
Merrill Lynch Investment Managers LP
May 2005 - September 2006 · 1 yr 4 mos
Fam Distributors, INC.Broker
May 2005 - September 2006 · 1 yr 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
April 2002 - May 2005 · 3 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2001 - May 2005 · 4 yrs 2 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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