GUOTAI JUNAN ASSETS (ASIA) LTD
Adviser information for GUOTAI JUNAN ASSETS (ASIA) LTD last updated from Form ADV on March 26th, 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 | 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 | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 802-121255 |
|---|---|
| SEC ERA File Number | 802-121255 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 298075 |
| Legal Entity Identifier | 213800Y3WQGTZ2XX2E78 |
Principal Office
27/F LOW BLOCK, GRAND MILLENNIUM PLAZA181 QUEEN'S ROAD CENTRAL
HONG KONG
Hong Kong
Monday - Friday, 0900-1800
Tel: 852 2509 5308, Fax: None
Websites
Chief Compliance Officer
N/A
N/A
N/A
Hong Kong
Tel:
N/A
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| Qi, Haiying | Individual | – | RESPONSBILE OFFICER | 03/2017 | < 5% |
| CHIU, SIMON, SIU HUNG | Individual | – | RESPONSBILE OFFICER | 04/2016 | < 5% |
| GUOTAI JUNAN INTERNATIONAL HOLDINGS LIMITED | Foreign Entity | – | SHAREHOLDER | 08/2021 | > 75% |
| WONG, CHUNG MUN | Individual | – | RESPONSIBLE OFFICER | 09/2018 | < 5% |
| TSANG, CHUN KIT | Individual | – | RESPONSIBLE OFFICER | 08/2019 | < 5% |
| GAO, Haifeng | Individual | – | RESPONSBILE OFFICER | 03/2022 | < 5% |
| Lei, Qiang | Individual | – | RESPONSIBLE OFFICER | 11/2022 | < 5% |
| Choy, Tak Sum | Individual | – | RESPONSIBLE OFFICER | 02/2022 | < 5% |
| Chu, Man Fai | Individual | – | RESPONSIBLE OFFICER | 06/2022 | < 5% |