COMPLUS ASSET MANAGEMENT LIMITED

Adviser information for COMPLUS ASSET MANAGEMENT LIMITED last updated from Form ADV on March 25th, 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	Hong Kong

Employees

Total Number of Employees	32
Investment Advisory/Research	7
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	2

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	8	$4.1B
Non-Discretionary	0	$0
Total	8	$4.1B

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	5	$2.7B
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	<5	$1.4B
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	88

Services

Advisory Services	Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation	% of AUMPerformance-based fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-113880
SEC ERA File Number	801-113880
SEC CIK Numbers	None
SEC CRD Numbers	173003
Legal Entity Identifier	549300P71S6ETINLK053

Principal Office

ROOM 1302, YORK HOUSE
THE LANDMARK, 15 QUEEN'S ROAD CENTRAL
HONG KONG
Hong Kong

Monday - Friday, 9 A.M. - 6 P.M.

Tel: +852 2868 1686, Fax: +852 2868 2090

Websites

www.complusam.com

Chief Compliance Officer

TAO PING CHEUNG

CHIEF OPERATIONS OFFICER

ROOM 1302, YORK HOUSE

THE LANDMARK, 15 QUEEN'S ROAD CENTRAL

HONG KONG

Hong Kong

Tel: +852 2868 2070

Fax: +852 2868 2090

R*************@************M

(Full email address available in API data)

Regulatory Contact

FRANCOIS JOSEF HORA

CHIEF EXECUTIVE OFFICER

ROOM 1302, YORK HOUSE

THE LANDMARK, 15 QUEEN'S ROAD CENTRAL

HONG KONG

Hong Kong

Tel: +44 20 3178 5172

F************@************M

(Full email address available in API data)

Industry Affiliates

COMPLUS ASSET MANAGEMENT (SINGAPORE) PTE. LTD.	Other investment adviser, including financial planners
COMPLUS ASSET MANAGEMENT (UK) LIMITED	Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
COMPLUS ASIA FIXED INCOME FUND	Hedge Fund	$394.4M	$0.1M	3
COMPLUS ASIA MACRO JPY FUND	Hedge Fund	$127.6M	$1.0M	4
COMPLUS ASIA MACRO MASTER FUND LTD	Hedge Fund	$1,532.0M	$1.0M	81

Control Persons

Name	Type	Entity	Title	Since	Ownership
COMPLUS INVESTMENT LIMITED	Foreign Entity	–	SHAREHOLDER	01/2011	> 75%
KAM, KWOK CHING	Individual	–	DIRECTOR / CHIEF INVESTMENT OFFICER	01/2011	< 5%
LEEKHA, RAJEEV	Individual	–	DIRECTOR / PORTFOLIO MANAGER	08/2011	< 5%
HORA, FRANCOIS, JOSEF	Individual	–	HEAD OF BUSINESS DEVELOPMENT	06/2012	< 5%
CHEUNG, TAO PING	Individual	–	HEAD OF OPERATIONS	06/2011	< 5%
COMPLUS HOLDINGS LIMITED	Foreign Entity	COMPLUS INVESTMENT LIMITED	SHAREHOLDER	08/2011	> 75%
KAM, KWOK CHING	Individual	COMPLUS HOLDINGS LIMITED	SHAREHOLDER	06/2011	> 75%
HORA, FRANCOIS, JOSEF	Individual	–	CHIEF EXECUTIVE OFFICER	03/2015	< 5%
CHEUNG, TAO PING	Individual	–	CHIEF OPERATIONS OFFICER	03/2018	< 5%

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