PRINCIPAL ASSET MANAGEMENT (ASIA)
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED Legal Name
Adviser information for PRINCIPAL ASSET MANAGEMENT (ASIA) last updated from Form ADV on March 27th, 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 | 41 |
|---|---|
| Investment Advisory/Research | 35 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 39 | $11.8B |
| Non-Discretionary | 8 | $639.5M |
| Total | 47 | $12.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | 7 | $1.3B |
| Investment companies | 2 | $1.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 20 | $9.3B |
| Pension and profit sharing plans | 15 | $631.6M |
| Charitable organizations | <5 | $1.8M |
| State or municipal gov entities | <5 | $0 |
| Other investment advisers | <5 | $0 |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $162.4M |
| Corporations or other businesses | <5 | $41.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 100 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-126155 |
|---|---|
| SEC ERA File Number | 801-126155 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 322390 |
| Legal Entity Identifier | 254900INOKI6X1U2VS36 |
Principal Office
29/F, SUN HUNG KAI CENTRE30 HARBOUR ROAD
WANCHAI
Hong Kong
Monday - Friday, 8:00AM - 5:00PM
Tel: 852-2827-1628, Fax: 852-2827-1867
Chief Compliance Officer
JUSTIN THOMAS LANGE
CHIEF COMPLIANCE OFFICER
711 HIGH STREET
DES MOINES
IA
United States
Tel:
1-800-533-1390
Fax:
1-866-850-4024
L***********@************M
(Full email address available in API data)
Regulatory Contact
MARKHAM PENROD
AVP COMPLIANCE
711 HIGH STREET
DES MOINES
IA
United States
Tel:
1-800-533-1390
Fax:
1-866-850-4024
P*************@************M
(Full email address available in API data)
Industry Affiliates
| BRASILPREV SEGUROS E PREVIDENCIA S.A. | Insurance company or agency |
| CLARITAS ADMINISTRACADO DE RECURSOS LTDA. | Sponsor, GP, manager of pooled investment vehicles |
| CLARITAS INVESTMENTS LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| DELAWARE CHARTER GUARANTEE & TRUST COMPANY | Trust company |
| DIVERSIFIED DENTAL SERVICES, INC. A NEVADA CLOSE CORPORATION | Insurance company or agency |
| EMPLOYERS DENTAL SERVICES, INC. | Insurance company or agency |
| EQUITY FC, LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerSponsor or syndicator of limited partnerships |
| FIRST DENTAL HEALTH | Insurance company or agency |
| PETULA ASSOCIATES, LLC | Sponsor or syndicator of limited partnerships |
| POST ADVISORY GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ADMINISTRADORA GENERAL DE FONDOS S.A. | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ADVISED SERVICES | Other investment adviser, including financial planners |
| PRINCIPAL AFORE, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | Insurance company or agency |
| PRINCIPAL AHORRO E INVERSIONES S.A. | Other investment adviser, including financial planners |
| PRINCIPAL ASSET MANAGEMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ASSET MANAGEMENT (S) PTE LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ASSET MANAGEMENT BERHAD | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL ASSET MANAGEMENT COMPANY LIMITED (THAILAND) | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL BANK | Banking or thrift institution |
| PRINCIPAL COMPANIA DE SEGUROS DE VIDA CHILE S.A. | Insurance company or agency |
| PRINCIPAL DENTAL SERVICES, INC. | Insurance company or agency |
| PRINCIPAL FINANCIAL GROUP, INC. | Insurance company or agency |
| PRINCIPAL FINANCIAL SERVICES, INC. | Insurance company or agency |
| PRINCIPAL FONDOS DE INVERSI�N, S.A. DE C.V., OPERADORA DE FONDOS DE INVERSI�N, PRINCIPAL GRUPO FINANCIERO | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL FUNDS DISTRIBUTOR, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LIMITED | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (EUROPE) LIMITED | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (IRELAND) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS (SWITZERLAND) GMBH | Other investment adviser, including financial planners |
| PRINCIPAL GLOBAL INVESTORS TRUST COMPANY | Trust company |
| PRINCIPAL INSURANCE COMPANY (HONG KONG) LIMITED | Insurance company or agency |
| PRINCIPAL INTERNATIONAL, LLC | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL INVESTMENT & RETIREMENT SERVICES LIMITED | Sponsor or syndicator of limited partnerships |
| PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN. BHD. | Sponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL LIFE INSURANCE COMPANY | Insurance company or agency |
| PRINCIPAL NATIONAL LIFE INSURANCE COMPANY | Insurance company or agency |
| PRINCIPAL NOMINEE COMPANY (HONG KONG) LIMITED | Trust company |
| PRINCIPAL ORIGIN | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE B.V. | Sponsor or syndicator of limited partnerships |
| PRINCIPAL REAL ESTATE EUROPE LIMITED | Sponsor or syndicator of limited partnerships |
| PRINCIPAL REAL ESTATE FUND INVESTORS, LLC | Sponsor or syndicator of limited partnerships |
| PRINCIPAL REAL ESTATE GMBH | Sponsor or syndicator of limited partnerships |
| PRINCIPAL REAL ESTATE LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE S.L.U. | Sponsor or syndicator of limited partnerships |
| PRINCIPAL REAL ESTATE SAS | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REAL ESTATE SPEZIALFONDSGESELLSCHAFT MBH | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE | Insurance company or agency |
| PRINCIPAL REINSURANCE COMPANY OF DELAWARE II | Insurance company or agency |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT | Insurance company or agency |
| PRINCIPAL REINSURANCE COMPANY OF VERMONT II | Insurance company or agency |
| PRINCIPAL SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| PRINCIPAL SEGUROS, S.A. DE C.V., PRINCIPAL GRUPO FINANCIERO | Insurance company or agency |
| PRINCIPAL SERVICIOS CORPORATIVOS CHILE LTDA. | Sponsor or syndicator of limited partnerships |
| PRINCIPAL SHAREHOLDER SERVICES, INC. | Trust company |
| PRINCIPAL TRUST COMPANY (ASIA) LIMITED | Trust company |
| PRINCIPAL TRUST COMPANY (HONG KONG) LIMITED | Trust company |
| PT PRINCIPAL ASSET MANAGEMENT | Sponsor, GP, manager of pooled investment vehicles |
| SAMI BROKERAGE LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SPECTRUM ASSET MANAGEMENT, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| THE PRINCIPAL FINANCIAL GROUP FOUNDATION, INC. | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WU, MICHELE, XIAOMING | Individual | – | OFFICER | 11/2020 | < 5% |
| WEST, KENNETH, KIRK | Individual | – | DIRECTOR | 06/2021 | < 5% |
| CHING, DEREK, HO YIN | Individual | – | DIRECTOR | 06/2021 | < 5% |
| SARAN, PHILLIP, HOWARD HASENFUS | Individual | – | OFFICER | 06/2015 | < 5% |
| ECHEGORRI RODRIGUEZ, ALEJANDRO, ELIAS | Individual | – | DIRECTOR | 06/2021 | < 5% |
| PRINCIPAL FINANCIAL GROUP, INC | Domestic Entity | PRINCIPAL FINANCIAL SERVICES INC | SOLE SHAREHOLDER | 12/1997 | > 75% |
| PRINCIPAL FINANCIAL SERVICES INC | Domestic Entity | PRINCIPAL INTERNATIONAL LLC | SOLE SHAREHOLDER | 12/1997 | > 75% |
| PRINCIPAL INTERNATIONAL LLC | Domestic Entity | PRINCIPAL INTERNATIONAL (ASIA) LIMITED | SOLE SHAREHOLDER | 12/1997 | > 75% |
| PRINCIPAL INTERNATIONAL (ASIA) LIMITED | Foreign Entity | – | SOLE SHAREHOLDER | 12/1997 | > 75% |
| Lange, Justin, Thomas | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| Chiu, Steve, Po Slu | Individual | – | CHIEF EXECUTIVE OFFICER | 03/2023 | < 5% |
| VOHRA, ROHIT | Individual | – | DIRECTOR | 03/2023 | < 5% |
| Zhong, Rongsa | Individual | – | DIRECTOR | 03/2023 | < 5% |
| DJURASOVIC, GEORGE | Individual | – | GENERAL COUNSEL | 11/2023 | < 5% |