HARVEST GLOBAL INVESTMENTS LIMITED
Adviser information for HARVEST GLOBAL INVESTMENTS LIMITED last updated from Form ADV on March 27th, 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 | Other (specify) |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Hong Kong |
Employees
| Total Number of Employees | 33 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 8 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 28 | $3.5B |
| Non-Discretionary | 0 | $0 |
| Total | 28 | $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 | 11 | $162.9M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | <5 | $2.4B |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 7 | $877.1M |
| Other | <5 | $18.5M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 96 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-72429 |
|---|---|
| SEC ERA File Number | 801-72429 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 157964 |
| Legal Entity Identifier | 254900HXNL2VW0JOFU39 |
Principal Office
31/F ONE EXCHANGE SQUARE8 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 0900-1800
Tel: 852 3913 3333, Fax: 852 3913 3300
Chief Compliance Officer
DAVID TONG
CHIEF COMPLIANCE OFFICER
31/F ONE EXCHANGE SQUARE
8 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Tel:
852 3913 3312
D********@***********N
(Full email address available in API data)
Industry Affiliates
| HARVEST CAPITAL MANAGEMENT CO., LTD | Other investment adviser, including financial planners |
| HARVEST FUND MANAGEMENT CO., LTD | Other investment adviser, including financial planners |
| HARVEST USA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| HARVEST WEALTH MANAGEMENT CO., LTD | 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 |
|---|---|---|---|---|---|
| HARVEST FUND MANAGEMENT CO., LTD | Foreign Entity | – | SHAREHOLDER | 09/2008 | > 75% |
| THE PEOPLE'S INSURANCE COMPANY (GROUP) OF CHINA | Foreign Entity | CHINA CREDIT TRUST CO., LTD | SHAREHOLDER | 10/2008 | 25-50% |
| CHINA CREDIT TRUST CO., LTD | Foreign Entity | HARVEST FUND MANAGEMENT CO., LTD | SHAREHOLDER | 03/1999 | 25-50% |
| TONG YUAN HOLDING CO., LTD | Foreign Entity | LIXIN INVESTMENT CO., LTD | SHAREHOLDER | 09/2005 | 50-75% |
| LIXIN INVESTMENT CO., LTD | Foreign Entity | HARVEST FUND MANAGEMENT CO., LTD | SHAREHOLDER | 01/2003 | 25-50% |
| DEUTSCHE BANK AG | Foreign Entity | DB BETEILIGUNGS-HOLDING GMBH | SHAREHOLDER | 12/2017 | > 75% |
| DWS GROUP GMBH & CO. KGAA | Foreign Entity | DWS INVESTMENTS SINGAPORE LIMITED | SHAREHOLDER | 12/2017 | > 75% |
| DWS INVESTMENTS SINGAPORE LIMITED | Foreign Entity | HARVEST FUND MANAGEMENT CO., LTD | SHAREHOLDER | 06/2005 | 25-50% |
| DB BETEILIGUNGS-HOLDING GMBH | Foreign Entity | DWS GROUP GMBH & CO. KGAA | SHAREHOLDER | 12/2017 | > 75% |
| ZHAO, XUE JUN | Individual | – | DIRECTOR | 08/2021 | < 5% |
| JIANG, YIQIAN | Individual | – | RESPONSIBLE OFFICER | 06/2010 | < 5% |
| TONG, CHEUK FUNG, DAVID | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2011 | < 5% |
| JING, LEI | Individual | – | CHAIRMAN & DIRECTOR | 08/2021 | < 5% |
| SHU, CHUYING KEVIN | Individual | – | RESPONSIBLE OFFICER | 10/2020 | < 5% |
| GUO, SONG | Individual | – | DIRECTOR | 05/2021 | < 5% |
| LU, LINGFEI | Individual | – | DIRECTOR | 07/2018 | < 5% |
| GONG, KANG | Individual | – | DIRECTOR | 05/2022 | < 5% |
| SHANGHAI SAI HONG ENTERPRISE MANAGEMENT CO., LTD | Foreign Entity | TONG YUAN HOLDING CO., LTD | SHAREHOLDER | 08/2021 | > 75% |
| HAN, TONGLI | Individual | – | DIRECTOR/CEO/CIO/RESPONSIBLE OFFICER | 02/2024 | < 5% |