CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC
Adviser information for CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC last updated from Form ADV on March 29th, 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 | 1 |
|---|---|
| Investment Advisory/Research | 1 |
| 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 | 1 | $172.7M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $172.7M |
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 | 1 | $172.7M |
| 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 | 0 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-111744 |
|---|---|
| SEC ERA File Number | 801-111744 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 289848 |
| Legal Entity Identifier | None |
Principal Office
280 PARK AVENUE32ND FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM-5PM
Tel: 646-794-8800, Fax: 646-794-8804
Chief Compliance Officer
YAN QIN
CHIEF COMPLIANCE OFFICER
280 PARK AVENUE
32ND FLOOR
NEW YORK
NY
United States
Tel:
646 794 8800
Y******@*********M
(Full email address available in API data)
Regulatory Contact
LANLAN ZHANG
MANAGING DIRECTOR
280 PARK AVENUE
32ND FLOOR
NEW YORK
NY
United States
Tel:
646-794-8800
Z**********@**************M
(Full email address available in API data)
Industry Affiliates
| CICC ALPHA INVESTMENT GROUP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CICC INVESTMENT ADVISORY COMPANY LIMITED | Other investment adviser, including financial planners |
| CICC INVESTMENT MANAGEMENT (USA), INC. | Other investment adviser, including financial planners |
| CICC US SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOBE WEALTH MANAGEMENT, LLC | Other investment adviser, including financial planners |
| GOLDEN ROAD CAPITAL FUND GP, LLC, | Sponsor, GP, manager of pooled investment vehicles |
| KRANE FUNDS ADVISORS, LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GOLDEN ROAD CAPITAL FUND L.P. | Private Equity Fund | $172.7M | $2.0M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CICC ALPHA INVESTMENT GROUP LIMITED (CAYMAN) | Foreign Entity | – | 100% OWNER - MANAGING MEMBER | 03/2022 | > 75% |
| CHINA INTERNATIONAL CAPITAL CORPORATION (INTERNATIONAL) LIMITED | Foreign Entity | CICC CAPITAL (CAYMAN) LIMITED | 100 % SHAREHOLDER / OWNER | 04/2020 | > 75% |
| CHINA INTERNATIONAL CAPITAL CORPORATION LIMITED | Foreign Entity | CHINA INTERNATIONAL CAPITAL CORPORATION (INTERNATIONAL) LIMITED | 100% SHAREHOLDER / OWNER | 05/2015 | > 75% |
| CENTRAL HUIJIN INVESTMENT LIMITED | Foreign Entity | CHINA INTERNATIONAL CAPITAL CORPORATION LIMITED | 40.11% SHAREHOLDER | 02/2022 | 25-50% |
| CHINA INVESTMENT CORPORATION | Foreign Entity | CENTRAL HUIJIN INVESTMENT LIMITED | 100 % SHAREHOLDER / OWNER | 01/2008 | > 75% |
| ALPHA INVESTMENT GROUP HOLDING LIMITED (CAYMAN) | Foreign Entity | CICC ALPHA INVESTMENT GROUP LIMITED (CAYMAN) | 50% SHAREHOLDER | 06/2017 | 50-75% |
| ZHANG, LANLAN | Individual | – | DIRECTOR | 09/2017 | < 5% |
| CICC ALPHA INVESTMENT GROUP LIMITED (CAYMAN) | Foreign Entity | CICC ALPHA INVESTMENT GROUP LIMITED (CAYMAN) | 100% SHAREHOLDER | 05/2015 | > 75% |
| CICC CAPITAL (CAYMAN) LIMITED | Foreign Entity | CICC ALPHA INVESTMENT GROUP LIMITED (CAYMAN) | 50% SHAREHOLDER | 03/2022 | 50-75% |
| HKSCC NOMINEES LIMITED | Foreign Entity | CHINA INTERNATIONAL CAPITAL CORPORATION LIMITED | 39.42% OWNERSHIP COLLECTIVELY OWNED BY PUBLIC SHAREHOLDERS | 02/2022 | 25-50% |
| Lu, Yin | Individual | – | DIRECTOR | 12/2021 | < 5% |
| Lai, Kyle, K | Individual | – | DIRECTOR | 12/2021 | < 5% |
| QIN, YAN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2023 | < 5% |
| Sun, Lauren | Individual | ALPHA INVESTMENT GROUP HOLDING LIMITED (CAYMAN) | 100% SHAREHOLDER | 05/2023 | > 75% |