XY INVESTMENTS
XY INVESTMENTS (HK) LTD Legal Name
Adviser information for XY INVESTMENTS last updated from Form ADV on September 13th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | JUNE |
| Legal Location | Hong Kong |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 5 | $107.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $107.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $50.0M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 3 | $35.0M |
| 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 | 1 | $22.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 80 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio 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 | 801-117831 |
|---|---|
| SEC ERA File Number | 801-117831 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306443 |
| Legal Entity Identifier | 254900U4K3XB4BIOIM24 |
Principal Office
UNIT 746, 7/F, LOW BLOCK, GRAND MILLENNIUM PLAZA181 QUEEN'S ROAD CENTRAL, CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 9AM-6PM
Tel: +852 3511 6033, Fax: None
Websites
Chief Compliance Officer
ZHANG LU
CHIEF OPERATING OFFICER
UNIT 746, 7/F, LOW BLOCK, GRAND MILLENNIUM PLAZA
181 QUEEN'S ROAD CENTRAL, CENTRAL
HONG KONG
Hong Kong
Tel:
+852 3511 6033
L*******@************K
(Full email address available in API data)
Regulatory Contact
TONY TANG
DIRECTOR
UNIT 746, 7/F, LOW BLOCK, GRAND MILLENNIUM PLAZA
181 QUEEN'S ROAD CENTRAL, CENTRAL
HONG KONG
Hong Kong
Tel:
+852 3511 6033
T*******@************K
(Full email address available in API data)
Industry Affiliates
| SHANGHAI XY INVESTMENTS LLC | Other investment adviser, including financial planners |
| XY INVESTMENTS (CAYMAN) LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| XY CHINA ENHANCED EQUITY MASTER FUND LTD | Hedge Fund | $35.7M | $1.0M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHANGHAI XY INVESTMENTS LLC | Foreign Entity | – | OWNER | 08/2016 | 50-75% |
| ZHOU, Xin | Individual | SHANGHAI XY INVESTMENTS LLC | OWNER AND CEO | 03/2014 | > 75% |
| TANG, Tony, TAO | Individual | – | OWNER AND DIRECTOR | 06/2016 | 25-50% |
| Zhang, Lu | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2021 | < 5% |