FULLGOAL ASSET MANAGEMENT (HK) LIMITED
Adviser information for FULLGOAL ASSET MANAGEMENT (HK) LIMITED last updated from Form ADV on February 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Hong Kong |
Employees
| Total Number of Employees | 52 |
|---|---|
| Investment Advisory/Research | 26 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 4 | $387.1M |
| Non-Discretionary | 1 | $4.3B |
| Total | 5 | $4.7B |
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 | 4 | $387.1M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $4.3B |
| 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 | 80 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-127463 |
|---|---|
| SEC ERA File Number | 801-127463 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 324688 |
| Legal Entity Identifier | 254900BGN6AHGXC6PX95 |
Principal Office
19/F33 DES VOEUX ROAD CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 9:00 A.M. - 5:30 P.M.
Tel: 852 3713 3000, Fax: 852 3713 3023
Websites
Chief Compliance Officer
ZHANG, LIXIN
CHIEF EXECUTIVE OFFICER / DIRECTOR
19/F
33 DES VOEUX ROAD CENTRAL
HONG KONG
Hong Kong
Tel:
852 3713 3068
Fax:
852 3713 3023
Z*********@**************K
(Full email address available in API data)
Regulatory Contact
HUI, HON WAH
CHIEF OPERATIONS OFFICER
19/F
33 DES VOEUX ROAD CENTRAL
HONG KON
Hong Kong
Tel:
852 3713 3006
Fax:
852 3713 3023
F************@**************K
(Full email address available in API data)
Industry Affiliates
| FULLGOAL FUNDMANAGEMENT CO., LTD | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BANK OF MONTREAL, CANADA | Foreign Entity | FULLGOAL FUND MANAGEMENT CO., LTD | SHAREHOLDER | 05/2003 | 25-50% |
| FULLGOAL FUND MANAGEMENT CO., LTD | Foreign Entity | – | SHAREHOLDER | 06/2012 | > 75% |
| HAITONG SECURITIES CO., LTD. | Foreign Entity | FULLGOAL FUND MANAGEMENT CO., LTD | SHAREHOLDER | 04/1999 | 25-50% |
| SHENWAN HONGYUAN SECURITIES CO., LTD. | Foreign Entity | FULLGOAL FUND MANAGEMENT CO., LTD | SHAREHOLDER | 04/1999 | 25-50% |
| SHENWAN HONGYUAN GROUP CO., LTD. | Foreign Entity | SHENWAN HONGYUAN SECURITIES CO., LTD. | SHAREHOLDER | 01/2015 | > 75% |
| CHOW, YUK SING | Individual | – | DIRECTOR / CHIEF MARKETING OFFICER | 10/2012 | < 5% |
| ZHANG, LIXIN | Individual | – | CHIEF EXECUTIVE OFFICER / CHIEF COMPLIANCE OFFICER / DIRECTOR | 01/2012 | < 5% |
| ZHANG, FENG | Individual | – | CHIEF INVESTMENT OFFICER / DIRECTOR | 06/2012 | < 5% |
| HUI, HON WAH | Individual | – | CHIEF OPERATIONS OFFICER | 11/2012 | < 5% |
| CHINA JIANYIN INVESTMENT CO., LTD. | Foreign Entity | SHENWAN HONGYUAN GROUP CO., LTD. | SHAREHOLDER | 12/2014 | 25-50% |
| CENTRAL HUIJIN INVESTMENT LIMITED | Foreign Entity | CHINA JIANYIN INVESTMENT CO., LTD. | SHAREHOLDER | 06/1986 | > 75% |
| CHINA INVESTMENT CORPORATION | Foreign Entity | CENTRAL HUIJIN INVESTMENT LIMITED | SHAREHOLDER | 09/2007 | > 75% |
| THE STATE COUNCIL OF THE PEOPLE'S REPUBLIC OF CHINA | Foreign Entity | CHINA INVESTMENT CORPORATION | SHAREHOLDER | 09/2007 | > 75% |
| HONG KONG SECURITIES CLEARING COMPANY LIMITED | Foreign Entity | HAITONG SECURITIES CO., LTD. | SHAREHOLDER | 04/2012 | 25-50% |
| HONG KONG EXCHANGES AND CLEARING LIMITED | Foreign Entity | HONG KONG SECURITIES CLEARING COMPANY LIMITED | SHAREHOLDER | 03/2000 | > 75% |