CATHAY CAPITAL NA, LLC
Adviser information for CATHAY CAPITAL NA, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 7 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3 | $124.5M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $124.5M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $124.5M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 67 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-104468 |
|---|---|
| SEC ERA File Number | 801-104468 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 268816 |
| Legal Entity Identifier | None |
Principal Office
150 E. 52ND STREETSUITE 20001
NEW YORK
NY
United States
Monday - Friday, 9:00AM - 5:00PM
Tel: 212-858-9020, Fax: None
Websites
Chief Compliance Officer
ANDRE PUONG
PARTNER
150 E. 52ND STREET
SUITE 20001
NEW YORK
NY
United States
Tel:
212-858-9872
A**********@****************M
(Full email address available in API data)
Regulatory Contact
MARK WOODS
PARTNER
150 E. 52ND STREET
SUITE 20001
NEW YORK
NY
United States
Tel:
212 858-9020
M*********@****************M
(Full email address available in API data)
Industry Affiliates
| CATHAY CAPITAL EUROPE S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| CATHAY CAPITAL NORTH AMERICAN-SINO FUND GP, LP | Sponsor, GP, manager of pooled investment vehicles |
| CATHAY CAPITAL PRIVATE EQUITY SAS | Sponsor, GP, manager of pooled investment vehicles |
| CATHAY MORPHEUS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CATHAY CAPITAL NORTH AMERICAN-SINO FUND (COLLECTOR), LP | Private Equity Fund | $105.3M | $0.0M | 30 |
| CATHAY MORPHEUS, LP | Private Equity Fund | $19.2M | $0.0M | 7 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CATHAY CAPITAL PRIVATE EQUITY LLC | Domestic Entity | – | MEMBER | 05/2015 | > 75% |
| CAI, MINGPO | Individual | – | PRESIDENT, CHIEF EXECUTIVE OFFICER, TREASURER, SECRETARY | 06/2006 | < 5% |
| CAI, MINGPO | Individual | CATHAY CAPITAL EUROPE S.A.R.L. | SHAREHOLDER | 06/2011 | 50-75% |
| CATHAY CAPITAL EUROPE S.A.R.L. | Foreign Entity | CATHAY CAPITAL PRIVATE EQUITY, LLC | SHAREHOLDER | 06/2011 | > 75% |
| Puong, Andre | Individual | – | PARTNER, CHIEF COMPLIANCE OFFICER | 02/2018 | 5-10% |
| WOODS, MARK, MATVEY | Individual | – | PARTNER | 02/2018 | 10-25% |