SANTA LUCIA ASSET MANAGEMENT PTE. LTD.
Adviser information for SANTA LUCIA ASSET MANAGEMENT PTE. LTD. last updated from Form ADV on September 26th, 2023. 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 | JUNE |
| Legal Location | Singapore |
Employees
| Total Number of Employees | 10 |
|---|---|
| Investment Advisory/Research | 5 |
| Registered Broker-Dealer Representatives | 5 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 12 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 8 | $881.8M |
| Non-Discretionary | 7 | $45.8M |
| Total | 15 | $927.6M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $12.5M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 10 | $552.2M |
| 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 | <5 | $362.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 87 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-112337 |
|---|---|
| SEC ERA File Number | 801-112337 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 291669 |
| Legal Entity Identifier | 213800HAT9U2JGFLBE95 |
Principal Office
65 CHULIA STREET#43-05/06 OCBC CENTRE
SINGAPORE
Singapore
Monday - Friday, 9.00AM - 6.00PM
Tel: 00-65-6513-4100, Fax: 00-65-6513-4113
Websites
Chief Compliance Officer
SAMANTHA POW SIOW PENG
VP COMPLIANCE, POLICY & RISK
65 CHULIA STREET
#43-05/06 OCBC CENTRE
SINGAPORE
Singapore
Tel:
00-65-6513-4100
Fax:
00-65-6513-4113
S********@**********G
(Full email address available in API data)
Regulatory Contact
FLORIAN JOERG WEIDINGER
CHIEF EXECUTIVE OFFICER
65 CHULIA STREET
#43-05/06 OCBC CENTRE
SINGAPORE
Singapore
Tel:
00-65-6513-4100
Fax:
00 65 6513 4113
F*******@**********G
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CIM DIVIDEND INCOME FUND LIMITED | Hedge Fund | $88.4M | $0.1M | 109 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MORTON, RUPERT, JAMES PHILIP | Individual | – | CHAIRMAN | 07/2023 | 10-25% |
| SCHMID, PHILIPP MARCUS | Individual | – | DIRECTOR | 01/2011 | < 5% |
| TAN, YING HSIEN | Individual | – | DIRECTOR | 01/2011 | < 5% |
| HB8 HOLDING PTE LTD | Foreign Entity | – | SHAREHOLDER | 07/2021 | > 75% |
| WEIDINGER, FLORIAN, JOERG | Individual | HB8 HOLDING PTE LTD | SHAREHOLDER | 03/2021 | 50-75% |
| WEIDINGER, FLORIAN, JOERG | Individual | – | CHIEF EXECUTIVE OFFICER | 02/2022 | 25-50% |
| POW, SIOW PENG | Individual | – | CHIEF COMPLIANCE OFFICER | 02/2023 | < 5% |