GLOBAL LISTING ACCELERATOR
GLOBAL LISTING ACCELERATOR SECURITIES LIMITED Legal Name
Adviser information for GLOBAL LISTING ACCELERATOR last updated from Form ADV on March 31st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 1 |
| 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 | 3 | $12.0M |
| Non-Discretionary | 3 | $16.0M |
| Total | 6 | $28.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $12.0M |
| 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 | <5 | $16.0M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 90 |
| No. of Financial Planning Clients | 1-10 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsEducational seminars/workshops |
|---|---|
| Compensation | % of AUMCommissions |
| Other Business Activities | Broker-dealerRegistered representative of a broker-dealer |
Identifiers
| SEC RIA File Number | 801-128620 |
|---|---|
| SEC ERA File Number | 801-128620 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 327603 |
| Legal Entity Identifier | None |
Principal Office
15 WEST 38TH STREET 4FL, STE 536NEW YORK
NY
United States
Monday - Friday, 10:00-4:00
Tel: 646-905-1039, Fax: None
Chief Compliance Officer
LEI GAO
15 WEST 38TH STREET 4FL, STE 536
NEW YORK
NY
United States
Tel:
646-905-1039
Q******@**********M
(Full email address available in API data)
Regulatory Contact
GUIMEI HUANG
OFFICE MANAGER
15 WEST 38TH STREET 4FL, STE 536
NEW YORK
NY
United States
Tel:
9176893375
A**************@********M
(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 |
|---|---|---|---|---|---|
| GAO, LEI | Individual | – | CCO | 04/2023 | > 75% |