PLEIAD INVESTMENT ADVISORS

PLEIAD INVESTMENT ADVISORS LIMITED Legal Name

Adviser information for PLEIAD INVESTMENT ADVISORS last updated from Form ADV on March 26th, 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	27
Investment Advisory/Research	14
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	12	$2.5B
Non-Discretionary	0	$0
Total	12	$2.5B

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	12	$2.5B
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
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-116989
SEC ERA File Number	801-116989
SEC CIK Numbers	None
SEC CRD Numbers	172237
Legal Entity Identifier	2549009OYEYEUUKTHW78

Principal Office

26/F, 8 WYNDHAM STREET, CENTRAL
HONG KONG
Hong Kong

Monday - Friday, 8:30AM-6:00PM

Tel: 852 3589 6470, Fax: 852 3589 6471

Websites

www.pleiadadvisors.com www.linkedin.com/company/pleiad-investment-advisors/about/

Chief Compliance Officer

VIEN CHIU

26/F, 8 WYNDHAM STREET, CENTRAL

HONG KONG

Hong Kong

Tel: 852 3589 6468

Fax: 852 3589 6471

V********@*****************M

(Full email address available in API data)

Regulatory Contact

MASAKI TANIGUCHI

COO

26/F, 8 WYNDHAM STREET, CENTRAL

HONG KONG

Hong Kong

Tel: 852 3589 6467

Fax: 852 3589 6471

M***************@*****************M

(Full email address available in API data)

Industry Affiliates

MINERVA GROWTH PARTNERS, INC.	Other investment adviser, including financial planners
PLEIAD-MINERVA JAPAN GROWTH OPPORTUNITIES GP LIMITED	Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name	Type	Assets $USD	Min Investment $USD	No. Owners
PLEIAD ASIA EQUITY MASTER FUND	LONG ONLY PRIVATE FUND INVESTING IN PUBLIC EQUITIES	$565.3M	$10.0M	51
PLEIAD ASIA MASTER FUND	Hedge Fund	$1,700.5M	$10.0M	99
PLEIAD JAPAN EQUITY MASTER FUND	JAPAN LONG ONLY PRIVATE FUND INVESTING IN JAPAN PUBLIC EQUITIES	$148.8M	$10.0M	15
PLEIAD JAPAN MASTER FUND	Hedge Fund	$27.4M	$10.0M	2
PLEIAD- MINERVA JAPAN GROWTH OPPORTUNITIES LP	Private Equity Fund	$67.6M	$5.0M	70

Control Persons

Name	Type	Entity	Title	Since	Ownership
PLEIAD INVESTMENT MANAGEMENT LIMITED	Foreign Entity	–	SOLE SHAREHOLDER	06/2014	> 75%
YOSHINO, MICHAEL, STEPHEN	Individual	LUCTOR ET EMERGO COMPANY LIMITED	OWNER	07/2021	> 75%
LEE, KENNETH, SEA LEONG	Individual	HERITAGE FORWARD LLC	OWNER	06/2018	25-50%
TANIGUCHI, MASAKI, NMN	Individual	–	DIRECTOR & COO	07/2014	< 5%
CHIU, VIEN, MOI YING	Individual	–	CFO & CCO	06/2014	< 5%
HERITAGE FORWARD LLC	Domestic Entity	PLEIAD INVESTMENT MANAGEMENT LIMITED	OWNER	09/2018	50-75%
GRANTOR TRUST: HERITAGE TRUST TWO	Domestic Entity	HERITAGE FORWARD LLC	OWNER	12/2020	50-75%
COMMONWEALTH TRUST COMPANY	Foreign Entity	GRANTOR TRUST: HERITAGE TRUST TWO	TRUSTEE	12/2020
LUCTOR ET EMERGO COMPANY LIMITED	Foreign Entity	PLEIAD INVESTMENT MANAGEMENT LIMITED	OWNER	07/2021	50-75%
YOSHINO, MICHAEL, STEPHEN	Individual	–	DIRECTOR & CO-CIO	03/2014	50-75%
LEE, KENNETH, SEA LEONG	Individual	–	DIRECTOR & CO-CIO	07/2014	50-75%

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