GUINNESS ATKINSON ASSET MANAGEMENT, INC.
Adviser information for GUINNESS ATKINSON ASSET MANAGEMENT, INC. last updated from Form ADV on March 8th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 24 |
|---|---|
| Investment Advisory/Research | 17 |
| 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 | 11 | $319.3M |
| Non-Discretionary | 0 | $0 |
| Total | 11 | $319.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $319.3M |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61667 |
|---|---|
| SEC ERA File Number | 801-61667 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 124465 |
| Legal Entity Identifier | None |
Principal Office
251 SOUTH LAKE AVE, SUITE 800PASADENA
CA
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 626 628-2787, Fax: None
Chief Compliance Officer
JIM ATKINSON
CEO
251 SOUTH LAKE AVE, SUITE 800
PASADENA
CA
United States
Tel:
626-628-2739
J***********@**********M
(Full email address available in API data)
Regulatory Contact
CAROLINE POSSE
18 SMITH SQUARE
WESTMINSTER, LONDON
United Kingdom
Tel:
44 207-042-6573
C*************@****************M
(Full email address available in API data)
Industry Affiliates
| GUINNESS ASSET MANAGEMENT LTD. | Other investment adviser, including financial planners |
| GUINNESS CAPITAL MANAGEMENT | 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 |
|---|---|---|---|---|---|
| ATKINSON, JAMES, JOSEPH | Individual | – | CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) | 11/2002 | 25-50% |
| GUINNESS, TIMOTHY, WHITMORE NEWTON | Individual | – | CHAIRMAN, CHIEF INVESTMENT OFFICER | 11/2002 | 25-50% |
| HARRISS, EDMUND | Individual | – | DIRECTOR | 04/2003 | 10-25% |
| ROBINETTE, GILES, ANDREW DAVID | Individual | – | CHIEF FINANCIAL OFFICER | 10/2005 | < 5% |
| GUINNESS, EDWARD, BENJAMIN | Individual | – | DIRECTOR | 01/2020 | < 5% |