GAVEKAL CAPITAL LIMITED
Adviser information for GAVEKAL CAPITAL LIMITED last updated from Form ADV on July 31st, 2023. 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 | APRIL |
| Legal Location | Hong Kong |
Employees
| Total Number of Employees | 21 |
|---|---|
| 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 | 4 | $1.0B |
| Non-Discretionary | 1 | $37.6M |
| Total | 5 | $1.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $37.6M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $1.0B |
| 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 | 96 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsADVISER OF UCITS FUNDS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-78253 |
|---|---|
| SEC ERA File Number | 801-78253 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 167819 |
| Legal Entity Identifier | 635400D1F5LH6XNAGM53 |
Principal Office
SUITE 3101, CENTRAL PLAZA18 HARBOUR ROAD
WAN CHAI
Hong Kong
Monday - Friday, 9AM - 6 PM (HKT)
Tel: 852-2869-8363, Fax: 852-2869-8131
Chief Compliance Officer
MARCO LAI
CHIEF OPERATING OFFICER
SUITE 3101, CENTRAL PLAZA
18 HARBOUR ROAD
WAN CHAI
Hong Kong
Tel:
+852 2869 8363
Fax:
+852 2869 8131
M****@**********M
(Full email address available in API data)
Industry Affiliates
| GAVEKAL CAPITAL (SINGAPORE) PTE. LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GAVEKAL ASIAN OPPORTUNITIES UCITS FUND | UCITS FUND | $173.1M | $0.3M | 99 |
| GAVEKAL CHINA FIXED INCOME FUND | UCITS FUND | $476.1M | $0.1M | 160 |
| GAVEKAL CHINA ONSHORE RMB BOND FUND | UCITS FUND | $118.3M | $0.0M | 32 |
| GAVEKAL GLOBAL EQUITIES UCITS FUND | UCITS FUND | $59.3M | $0.0M | 34 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GAVE, LOUIS-VINCENT | Individual | – | SHAREHOLDER OF GAVEKAL CAPITAL LIMITED/ CHIEF EXECUTIVE OFFICER | 06/2003 | > 75% |
| KALETSKY, ANATOLE | Individual | – | SHAREHOLDER OF GAVEKAL CAPITAL LIMITED | 06/2003 | 25-50% |
| HO, ALFRED, KAI SHING | Individual | – | CHIEF INVESTMENT OFFICER/HEAD OF ASIAN EQUITIES | 06/2003 | < 5% |
| LAI, MARCO | Individual | – | CHIEF OPERATING OFFICER/ CHIEF COMPLIANCE OFFICER | 06/2003 | < 5% |