TRADINGVALLEY INC.
Adviser information for TRADINGVALLEY INC. last updated from Form ADV on March 18th, 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 | California, United States |
Employees
| Total Number of Employees | 2 |
|---|---|
| Investment Advisory/Research | 1 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 1 |
| 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 | 180 | $4.7M |
| Non-Discretionary | 0 | $0 |
| Total | 180 | $4.7M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 180 | $4.7M |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 93 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUM |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 0 |
| Both for Same | 4.7M |
| Portfolio Manager to Program | Sponsor |
|---|---|
| TRADINGVALLEY INC. WRAP FEE PROGRAM | TRADINGVALLEY INC. |
Identifiers
| SEC RIA File Number | 801-114112 |
|---|---|
| SEC ERA File Number | 801-114112 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298542 |
| Legal Entity Identifier | None |
Principal Office
7F., NO. 110ZHOUZI ST., NEIHU DIST.
TAIPEI
Taiwan, Republic of China
NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONL, NOT APPLICABLE - OFFICE VISITS BY APPOINTMENT ONLY
Tel: +886-2713-6598, Fax: N/A
Websites
Chief Compliance Officer
CHIA HAO LEE
CHIEF COMPLIANCE OFFICER
7F., NO. 110
ZHOUZI ST., NEIHU DIST.
TAIPEI
Taiwan, Republic of China
Tel:
+886-2713-6598
Fax:
N/A
J***@**************W
(Full email address available in API data)
Regulatory Contact
HAN SHENG PENG
INVESTMENT ADVISER REPRESENTATIVE
7F., NO. 110
ZHOUZI ST., NEIHU DIST.
TAIPEI
Taiwan, Republic of China
Tel:
+886-2713-6598
Fax:
N/A
H*****@**************W
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEE, CHIA HAO | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2021 | 5-10% |
| LEADIN TECHNOLOGY CO., LTD | Foreign Entity | – | OWNER | 01/2018 | > 75% |
| Peng, Han Sheng, NMN | Individual | LEADIN TECHNOLOGY CO., LTD | OWNER | 01/2018 | 25-50% |
| Peng, Han -Sheng, NMN | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2018 | < 5% |