HSBC GLOBAL ASSET MANAGEMENT (USA) INC.
Adviser information for HSBC GLOBAL ASSET MANAGEMENT (USA) INC. last updated from Form ADV on March 29th, 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 | New York, United States |
Employees
| Total Number of Employees | 105 |
|---|---|
| Investment Advisory/Research | 60 |
| Registered Broker-Dealer Representatives | 35 |
| 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 | 85 | $142.3B |
| Non-Discretionary | 7 | $8.2B |
| Total | 92 | $150.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 3 | $48.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 45 | $62.6B |
| Pension and profit sharing plans | 5 | $208.8M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 9 | $9.9B |
| Sovereign wealth funds and foreign official institutions | <5 | $1.3B |
| Corporations or other businesses | 29 | $28.4B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 63 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
452 FIFTH AVENUENEW YORK
NY
United States
Monday - Friday, 9:00 AM - 5:00 PM (EST)
Tel: 212-525-1066, Fax: None
Websites
Chief Compliance Officer
BRIAN DELMAN
CHIEF COMPLIANCE OFFICER
452 FIFTH AVENUE
NEW YORK
NY
United States
Tel:
212-525-1066
B***********@**********M
(Full email address available in API data)
Regulatory Contact
JAMES SEERY
VP; LOCAL COMPLIANCE OFFICER
452 FIFTH AVENUE
NEW YORK
NY
United States
Tel:
1-212-525-2332
J************@**********M
(Full email address available in API data)
Industry Affiliates
| HSBC ALTERNATIVE INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| HSBC ASSET MANAGEMENT (JAPAN) LIMITED | Other investment adviser, including financial planners |
| HSBC BANK USA, NA | Registered security-based swap dealerBanking or thrift institutionTrust company |
| HSBC CONTINENTAL EUROPE S.A. GERMANY | Banking or thrift institution |
| HSBC GLOBAL ASSET MANAGEMENT (BERMUDA) LIMITED | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT (FRANCE) | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT ARGENTINA S.A. SOCIEDAD GERENTE DE FONDOS COMUNES DE INVERSION | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT DEUTSCHLAND GMBH | Other investment adviser, including financial planners |
| HSBC GLOBAL ASSET MANAGEMENT LTD. | Other investment adviser, including financial planners |
| HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| HSBC INVESTMENT FUNDS (LUXEMBOURG) SA | Sponsor, GP, manager of pooled investment vehicles |
| HSBC SECURITIES (USA) INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersRegistered security-based swap dealerFutures commission merchantInsurance company or agencySponsor, GP, manager of pooled investment vehicles |
| MARKET SECURITIES SERVICES HONG KONG | Banking or thrift institution |
| MARKET SECURITIES SERVICES IRELAND | Banking or thrift institution |
| MARKET SECURITIES SERVICES LONDON | Registered security-based swap dealerBanking or thrift institution |
| MARKET SECURITIES SERVICES LUXEMBOURG | Banking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HSBC HOLDINGS PLC | Foreign Entity | HSBC OVERSEAS HOLDINGS (UK) LTD | SHAREHOLDER | 08/2002 | > 75% |
| HSBC NORTH AMERICA HOLDINGS INC. | Domestic Entity | HSBC USA, INC. | SHAREHOLDER | 01/2004 | > 75% |
| CURTIS, JAMES, M | Individual | – | LEGAL COUNSEL | 12/2005 | < 5% |
| HSBC OVERSEAS HOLDINGS (UK) LTD | Foreign Entity | HSBC NORTH AMERICA HOLDINGS INC. | SHAREHOLDER | 07/2005 | > 75% |
| Dawe, Paul | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER, DIRECTOR | 06/2020 | < 5% |
| BRAR, RANDEEP | Individual | – | CHIEF RISK OFFICER, DIRECTOR | 01/2015 | < 5% |
| Campbell, Jaron, R | Individual | – | DIRECTOR | 09/2020 | < 5% |
| LEONARD, erin | Individual | – | DIRECTOR | 09/2020 | < 5% |
| VON MALTZAHN, SARAH | Individual | – | CHAIRMAN, DIRECTOR | 09/2020 | < 5% |
| HSBC USA, INC. | Domestic Entity | – | SHAREHOLDER | 01/2021 | > 75% |
| DELMAN, BRIAN, EDWARD | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2022 | < 5% |
| Vega, Erick, Daniel | Individual | – | CHIEF INVESTMENT OFFICER | 09/2022 | < 5% |