SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED
Adviser information for SUMITOMO MITSUI DS ASSET MANAGEMENT (HONG KONG) LIMITED 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 | Hong Kong |
Employees
| Total Number of Employees | 31 |
|---|---|
| Investment Advisory/Research | 14 |
| 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 | 17 | $447.2M |
| Non-Discretionary | 3 | $116.7M |
| Total | 20 | $563.9M |
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 | 20 | $563.9M |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 100 |
Services
| Advisory Services | Portfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-36504 |
|---|---|
| SEC ERA File Number | 801-36504 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110459 |
| Legal Entity Identifier | 254900MLNC4D7VFK4Z53 |
Principal Office
SUITES 901 & 902, 9TH FLOOR, TWO TAIKOO PLACE,TAIKOO PLACE, 979 KING'S ROAD, QUARRY BAY
HONG KONG
China
Monday - Friday, 0900 TO 1730
Tel: 852-2521-8883, Fax: 852-2537-1793
Websites
Chief Compliance Officer
RYOTA SONE
DIRECTOR, CHIEF OPERATING OFFICER
SUITES 901 & 902, 9TH FLOOR, TWO TAIKOO PLACE,
TAIKOO PLACE, 979 KING'S ROAD, QUARRY BAY
HONG KONG
China
Tel:
852-2140-5100
Fax:
852-2537-1793
R*********@***********P
(Full email address available in API data)
Regulatory Contact
FREYA CHAN
GENERAL MANAGER
SUITES 901 & 902, 9TH FLOOR, TWO TAIKOO PLACE,
TAIKOO PLACE, 979 KING'S ROAD, QUARRY BAY
HONG KONG
China
Tel:
852-2140-5113
Fax:
852-2537-1793
F*********@***********P
(Full email address available in API data)
Industry Affiliates
| DAIWA SECURITIES CO. LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| MISTUI SUMITOMO INSURANCE | Insurance company or agency |
| NIKKO GLOBAL WRAP | Other investment adviser, including financial planners |
| SMBC NIKKO SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SUMITOMO LIFE | Insurance company or agency |
| SUMITOMO MITSUI BANKING CORPORATION | Banking or thrift institution |
| SUMITOMO MITSUI DS ASSET MANAGEMENT (SINGAPORE) PTE. LTD. | Other investment adviser, including financial planners |
| SUMITOMO MITSUI DS ASSET MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| SUMITOMO MITSUI DS ASSET MANAGEMENT (USA) INC. | Other investment adviser, including financial planners |
| SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Other investment adviser, including financial planners |
| SUMITOMO MITSUI DS SHANGHAI | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | Foreign Entity | – | SHAREHOLDER | 04/2019 | > 75% |
| SUMITOMO MITSUI FINANCIAL GROUP, INC. | Foreign Entity | SUMITOMO MITSUI DS ASSET MANAGEMENT COMPANY, LIMITED | INDIRECT SHAREHOLDER | 04/2019 | 50-75% |
| SHIMBO, KAZUHISA | Individual | – | DIRECTOR | 06/2020 | < 5% |
| NAGAI, NAOTO | Individual | – | DIRECTOR | 09/2020 | < 5% |
| Fujikawa, Shingo | Individual | – | DIRECTOR | 09/2021 | < 5% |
| SONE, RYOTA | Individual | – | DIRECTOR, CHIEF OPERATING OFFICER | 04/2023 | < 5% |