DWS INVESTMENTS HONG KONG LIMITED
Adviser information for DWS INVESTMENTS HONG KONG LIMITED 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 | 71 |
|---|---|
| Investment Advisory/Research | 20 |
| 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 | 9 | $3.3B |
| Non-Discretionary | 1 | $145.3M |
| Total | 10 | $3.5B |
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 | 9 | $2.6B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 1 | $438.3M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 1 | $403.3M |
| 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 | 91 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-66285 |
|---|---|
| SEC ERA File Number | 801-66285 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 139666 |
| Legal Entity Identifier | 529900RX8DKTJ81MHL26 |
Principal Office
60/F INTERNATIONAL COMMERCE CENTRE1 AUSTIN ROAD WEST, KOWLOON
HONG KONG
China
Monday - Friday, 9:00AM-5:30PM
Tel: 852-2203-8888, Fax: None
Chief Compliance Officer
JOJO WONG
CHIEF COMPLIANCE OFFICER / REGIONAL HEAD OF AFC & COMPLIANCE APAC
60/F INTERNATIONAL COMMERCE CENTRE
1 AUSTIN ROAD WEST, KOWLOON
HONG KONG
China
Tel:
+852 22035212
J********@*****M
(Full email address available in API data)
Regulatory Contact
MANDY CHIU
SENIOR TEAM LEAD AFC & COMPLIANCE HONG KONG
60/F INTERNATIONAL COMMERCE CENTRE
1 AUSTIN ROAD WEST, KOWLOON
HONG KONG
China
Tel:
+852 22036674
M*********@*****M
(Full email address available in API data)
Industry Affiliates
| DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (UK) LIMITED | Other investment adviser, including financial planners |
| DEUTSCHE BANK (CHINA) CO., LTD., SHANGHAI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK (MALAYSIA) BERHAD | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institutionTrust companySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| DEUTSCHE BANK AG A.S. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG AMSTERDAM BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG BANGKOK BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG HUNGARY BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG JAKARTA BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG MANILA BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG TAIPEI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (BELGIUM) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (FRANCE) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, AMSTERDAM BRANCH (PORTUGAL) | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, COLOMBO BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, FRANKFURT | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, HO CHI MINH CITY BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, HONG KONG BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, KARACHI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, LONDON BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, MUMBAI BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, SEOUL BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG, SINGAPORE BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AG,NEW YORK BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE BANK AKTIENGESELLSCHAFT FILIALE PRAG, ORGANIZACN� SLOZKA | Banking or thrift institutionTrust company |
| DEUTSCHE BANK POLSKA S.A. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.A. - BANCO ALEM�O | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.A.E. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK S.P.A. | Banking or thrift institutionTrust company |
| DEUTSCHE BANK SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchant |
| DEUTSCHE BANK TRUST COMPANY AMERICAS | Banking or thrift institutionTrust company |
| DEUTSCHE BANK, LONDON BRANCH | Banking or thrift institutionTrust company |
| DEUTSCHE SECURITIES AND SERVICES, DUBAI | Banking or thrift institutionTrust company |
| DEUTSCHE SECURITIES ASIA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DEUTSCHE SECURITIES SAUDI ARABIA LLC | Banking or thrift institutionTrust company |
| DWS ALTERNATIVES GLOBAL LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS ASSET MANAGEMENT (KOREA) COMPANY LIMITED | Other investment adviser, including financial planners |
| DWS FAR EASTERN INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| DWS INTERNATIONAL GMBH | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS INVESTMENT GMBH | Other investment adviser, including financial planners |
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS INVESTMENT S.A. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| DWS INVESTMENTS AUSTRALIA LIMITED | Other investment adviser, including financial planners |
| DWS INVESTMENTS JAPAN LIMITED | Other investment adviser, including financial planners |
| DWS INVESTMENTS SINGAPORE LIMITED | Other investment adviser, including financial planners |
| DWS INVESTMENTS UK LIMITED | Other investment adviser, including financial planners |
| RREEF AMERICA L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| CHINA RENEWABLE ENERGY FUND L.P. | Private Equity Fund | $287.0M | $5.0M | 18 |
| CLEAN ENERGY AND ENVIRONMENT FUND LP | Private Equity Fund | $106.8M | $5.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHOEPPL-JOST, ELKE | Individual | – | DIRECTOR / REGIONAL INVESTMENT HEAD APAC | 08/2014 | < 5% |
| WONG, SUSANNA, N.Y. | Individual | – | REGIONAL HEAD OF LEGAL APAC | 09/2017 | < 5% |
| DEUTSCHE BANK AG | Foreign Entity | DB BETEILIGUNGS-HOLDING GMBH | SHAREHOLDER | 02/2010 | > 75% |
| DB BETEILIGUNGS-HOLDING GMBH | Foreign Entity | DWS GROUP GMBH & CO. KGAA | SHAREHOLDER | 12/2016 | > 75% |
| DWS GROUP GMBH & CO. KGAA | Foreign Entity | – | SHAREHOLDER | 03/2018 | > 75% |
| MURFIN, SIMON, JOHN | Individual | – | DIRECTOR / CHIEF OPERATING OFFICER APAC | 07/2018 | < 5% |
| PIDDEN, ANDREW, FREDERICK PETER | Individual | – | DIRECTOR / GLOBAL HEAD OF INVESTMENTS SUSTAINABLE INVESTMENTS | 04/2019 | < 5% |
| WONG, CHUN MUI, JOJO | Individual | – | CHIEF COMPLIANCE OFFICER / REGIONAL HEAD OF AFC & COMPLIANCE APAC | 10/2019 | < 5% |
| LOK, WENDY, WAI NG | Individual | – | DIRECTOR / CHIEF OPERATING OFFICER HONG KONG | 08/2021 | < 5% |
| WANG, VANESSA | Individual | – | DIRECTOR / HEAD OF CLIENT COVERAGE, APAC / HEAD OF ASIA PACIFIC | 04/2022 | < 5% |
| TOH, LORRAINE LAY HOON | Individual | – | DIRECTOR | 11/2023 | < 5% |
| CHAN, MACY, LAI KWAN | Individual | – | DIRECTOR / CHIEF FINANCIAL OFFICER APAC | 02/2024 | < 5% |