DRAGON CAPITAL MANAGEMENT (HK) LIMITED
Adviser information for DRAGON CAPITAL MANAGEMENT (HK) LIMITED last updated from Form ADV on March 21st, 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
Identifiers
| SEC RIA File Number | 802-110819 |
|---|---|
| SEC ERA File Number | 802-110819 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 287890 |
| Legal Entity Identifier | 5493002W420BT9C14552 |
Principal Office
UNIT 2406, 24/F9 QUEEN'S ROAD
CENTRAL
Hong Kong
Monday - Friday, 0830-1730
Tel: 85239798100, Fax: 85239798199
Websites
Chief Compliance Officer
BHARWANI, BABITA, BHAGWAN
UNIT 2406, 24/F
9 QUEEN'S ROAD
CENTRAL
Hong Kong
Tel:
+852 3979 8179
Fax:
+852 3979 8199
B*************@****************M
(Full email address available in API data)
Industry Affiliates
| DRAGON CAPITAL MARKETS (EUROPE) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| VIETFUND MANAGEMENT | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| VIETNAM DC25 LTD | COUNTRY SPECIFIC PUBLIC EQUITY INVESTMENT FUND | $60.3M | $10.0M | 12 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DRAGON CAPITAL INVESTMENT MANAGEMENT LIMITED | Foreign Entity | – | SHAREHOLDER | 07/2010 | > 75% |
| SCRIVEN, DOMINIC, TIMOTHY CHARLES | Individual | DRAGON CAPITAL GROUP LIMITED | SHAREHOLDER | 12/2007 | 25-50% |
| DRAGON CAPITAL GROUP LIMITED | Foreign Entity | DRAGON CAPITAL MANAGEMENT LIMITED | SHAREHOLDER | 08/2007 | > 75% |
| Leung, Maria, Suk Man | Individual | – | DIRECTOR, RESPONSIBLE OFFICER | 10/2016 | < 5% |
| SCHUERCH, BEAT | Individual | – | RESPONSIBLE OFFICER | 04/2014 | < 5% |
| BHARWANI, BABITA, BHAGWAN | Individual | – | HEAD OF GROUP COMPLIANCE | 11/2018 | < 5% |
| PASIKOWSKI, ALEXANDER, JAMES | Individual | – | DIRECTOR | 12/2020 | < 5% |
| SCRIVEN, DOMINIC, TIMOTHY CHARLES | Individual | – | RESPONSIBLE OFFICER | 08/2010 | 25-50% |