NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED
Adviser information for NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED last updated from Form ADV on March 14th, 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 | 8 |
|---|---|
| Investment Advisory/Research | 7 |
| 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 | 5 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $1.5B |
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 | 4 | $1.4B |
| 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 | 1 | $88.0M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 80 |
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 | 801-71183 |
|---|---|
| SEC ERA File Number | 801-71183 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 153063 |
| Legal Entity Identifier | 5493001J2PWYW5SO3H23 |
Principal Office
11TH FLOOR KINWICK CENTRE32 HOLLYWOOD ROAD, CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 0800-1700 HK TIME
Tel: 00852-3657-5600, Fax: 00852-3165-1671
Websites
Chief Compliance Officer
ERNEST HO
CHIEF FINANCIAL OFFICER
11TH FLOOR KINWICK CENTRE
32 HOLLYWOOD ROAD, CENTRAL
HONG KONG
Hong Kong
Tel:
00852-3657-5600
Fax:
N/A
E*****@***********K
(Full email address available in API data)
Regulatory Contact
NONE
NONE
NONE
NONE
NONE
Other
Tel:
NONE
Fax:
NONE
Industry Affiliates
| NORTHWEST INVESTMENT MANAGEMENT (US) LLC | Commodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NORTHWEST BONAVENTURA FUND LIMITED | Hedge Fund | $11.9M | $0.1M | 11 |
| NORTHWEST CHINA OPPORTUNITIES FUND LIMITED | Hedge Fund | $9.1M | $0.1M | 10 |
| NORTHWEST FEILONG FUND LIMITED | Hedge Fund | $1,377.1M | $0.1M | 79 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PHILIPS, GEORGE, ANDREW | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2009 | 50-75% |
| ROGERS, DAVID, IAN | Individual | – | CHIEF INVESTMENT OFFICER | 04/2009 | 25-50% |
| HO, ERNEST, LEE HONG | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2013 | < 5% |