SOUTH OCEAN MANAGEMENT LTD.
Adviser information for SOUTH OCEAN MANAGEMENT LTD. last updated from Form ADV on March 28th, 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 | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| 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 | $7.2M |
| Non-Discretionary | 2 | $3.2M |
| Total | 19 | $10.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 17 | $7.2M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $3.2M |
| 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 | 0 |
| No. of Non-U.S. Clients | 95 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-41804 |
|---|---|
| SEC ERA File Number | 801-41804 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 111180 |
| Legal Entity Identifier | None |
Principal Office
15E 15/F, THE PHOENIX BUILDING23 LUARD ROAD
WANCHAI
Hong Kong
Monday - Friday, 0900-1800
Tel: 852-2521-0332, Fax: 852-2530-2546
Websites
Chief Compliance Officer
BROOK MCCONNELL
15E 15/F THE PHOENIX BUILDING
23 LUARD ROAD
WAN CHAI
Hong Kong
Tel:
852-25210332
B****@**************M
(Full email address available in API data)
Regulatory Contact
JOYCE YIP
SENIOR MANAGER
15E 15/F THE PHOENIX BUILDING
23 LUARD ROAD
HONG KONG
Hong Kong
Tel:
852-25210332
J****@**************M
(Full email address available in API data)
Industry Affiliates
| SOUTH OCEAN PARTNER LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EXANTE GLOBAL OPPORTUNITIES FUND LIMITED | Hedge Fund | $0.7M | $0.1M | 12 |
| HONG KONG PARTNERS LP | Hedge Fund | $2.5M | $0.1M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| MCCONNELL, JAMES, M | Individual | – | SHAREHOLDER | 06/1992 | 5-10% |
| MCCONNELL, WILLIAM, EARLL | Individual | – | SHAREHOLDER | 06/1992 | 5-10% |
| MCCONNELL, POLLY | Individual | – | SHAREHOLDER | 06/1992 | 5-10% |
| MCCONNELL, ALEXANDER | Individual | – | SHAREHOLDER | 06/1992 | 5-10% |
| MCCONNELL, RICHARD, ESTERBROOK JR | Individual | – | PRESIDENT/ CHIEF COMPLIANCE OFFICER | 06/1992 | 50-75% |
| Taw, Steve | Individual | – | DIRECTOR OF SOUTH OCEAN MANAGEMENT LTD | 06/2006 | < 5% |