PACIFIC HARBOR HOLDINGS, LIMITED
Adviser information for PACIFIC HARBOR HOLDINGS, LIMITED last updated from Form ADV on March 25th, 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 | 16 |
|---|---|
| Investment Advisory/Research | 16 |
| 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 | 1 | $44.9M |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $44.9M |
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 | 1 | $44.9M |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-77290 |
|---|---|
| SEC ERA File Number | 801-77290 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 164404 |
| Legal Entity Identifier | None |
Principal Office
SUITE 4002, 40/F JARDINE HOUSE1 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 0830-1830
Tel: 852 2167 0500, Fax: 852 2295 1122
Websites
Chief Compliance Officer
YU KWOK MAN ALBERT
CHIEF FINANCIAL OFFICER
SUITE 4002, 40/F JARDINE HOUSE
1 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Tel:
852 2167 0513
A***@***********M
(Full email address available in API data)
Regulatory Contact
WARREN ALLDERIGE
CEO
SUITE 4002, 40/F JARDINE HOUSE
1 CONNAUGHT PLACE, CENTRAL
HONG KONG
Hong Kong
Tel:
852 2167 0501
W*********@***********M
(Full email address available in API data)
Industry Affiliates
| PACIFIC HARBOR ADVISERS (JAPAN), G.K. | Other investment adviser, including financial planners |
| PACIFIC HARBOR ADVISORS (SG) PTE. LTD. | Other investment adviser, including financial planners |
| PACIFIC HARBOR ADVISORS CO., LTD. | Other investment adviser, including financial planners |
| PACIFIC HARBOR CAPITAL II LTD | Other investment adviser, including financial planners |
| PACIFIC HARBOR CAPITAL, LTD. | Other investment adviser, including financial planners |
| PACIFIC HARBOR INFRASTRUCTURE SOLUTIONS PTE. LTD. | Other investment adviser, including financial planners |
| PACIFIC HARBOR INVESTMENTS HOLDINGS PHILIPPINES, INC | 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 |
|---|---|---|---|---|---|
| ALLDERIGE, WARREN, DUDLEY | Individual | – | CEO AND INDIRECT OWNER | 08/2006 | > 75% |
| PACIFIC HARBOR GROUP HOLDINGS PTY LIMITED | Foreign Entity | – | OWNER | 05/2007 | > 75% |
| PACIFIC HARBOR ASSOCIATES LIMITED | Foreign Entity | PACIFIC HARBOR GROUP HOLDINGS PTY LIMITED | INDIRECT OWNER | 05/2007 | > 75% |
| ALLDERIGE, WARREN, DUDLEY | Individual | PACIFIC HARBOR ASSOCIATES LIMITED | INDIRECT OWNER | 03/2007 | > 75% |
| YU, KWOK MAN, ALBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2013 | < 5% |
| LIN, YURI, YEE-LEE | Individual | – | MANAGING DIRECTOR | 04/2022 | < 5% |
| MAO, HO WING | Individual | – | DEPUTY CHIEF FINANCIAL OFFICER | 01/2013 | < 5% |