HANWHA ASSET MANAGEMENT (USA) LTD.
Adviser information for HANWHA ASSET MANAGEMENT (USA) LTD. last updated from Form ADV on March 19th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New York, United States |
Employees
| Total Number of Employees | 16 |
|---|---|
| Investment Advisory/Research | 13 |
| 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 | 2 | $2.3B |
| Non-Discretionary | 0 | $0 |
| Total | 2 | $2.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 1 | $205.0M |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 1 | $210.0M |
| 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 | 1 | $1.9B |
| 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 | 11 |
| No. of Non-U.S. Clients | 93 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsAD HOC INVESTMENT RELATED ACTIVITIES FOR AFFILIATES |
|---|---|
| Compensation | % of AUMPerformance-based feesCOMPENSATION BASED ON A COST PLUS ARRANGEMENT |
Identifiers
| SEC RIA File Number | 801-110735 |
|---|---|
| SEC ERA File Number | 801-110735 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288464 |
| Legal Entity Identifier | None |
Principal Office
300 GRANT AVENUE4TH FLOOR
SAN FRANCISCO
CA
United States
Monday - Friday, 9-5
Tel: (415) 534-1190, Fax: None
Chief Compliance Officer
MINSHU LIU
GENERAL COUNSEL
300 GRANT AVENUE
4TH FLOOR
SAN FRANCISCO
CA
United States
Tel:
415-534-1195
M*********@*********C
(Full email address available in API data)
Industry Affiliates
| HANWHA ASSET MANAGEMENT CO., LTD. | Other investment adviser, including financial planners |
| HANWHA GENERAL INSURANCE CO., LTD. | Insurance company or agency |
| HANWHA LIFE INSURANCE CO., LTD. | Insurance company or agency |
| HANWHA USA PARTNERS I GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HANWHA NEXT GENERATION OPPORTUNITY FUND I LP | Venture Capital Fund | $210.0M | $10.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HANWHA ASSET MANAGEMENT CO. LTD. | Foreign Entity | – | DIRECT OWNER | 02/2017 | > 75% |
| HANWHA LIFE INSURANCE CO. LTD. | Foreign Entity | HANWHA ASSET MANAGEMENT CO. LTD. | DIRECT OWNER | 06/2010 | > 75% |
| IM, DONG JUN, NMN | Individual | – | CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER | 03/2022 | < 5% |
| JUNG, YUNTEK, NMN | Individual | – | CHIEF OPERATING OFFICER / CHIEF FINANCIAL OFFICER | 08/2022 | < 5% |
| LIU, MINSHU, NMN | Individual | – | GENERAL COUNSEL / CHIEF COMPLIANCE OFFICER | 03/2023 | < 5% |