CLSA CAPITAL PARTNERS
CITIC SECURITIES CLSA CAPITAL PARTNERS (HK) LIMITED Legal Name
Adviser information for CLSA CAPITAL PARTNERS 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 | 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 | 802-75568 |
|---|---|
| SEC ERA File Number | 802-75568 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 161379 |
| Legal Entity Identifier | None |
Principal Office
ROOM 809,ONE PACIFIC PLACE88 QUEENSWAY
HONG KONG
Hong Kong
Monday - Friday, 9:30 AM TO 5:30 PM
Tel: 85226008888, Fax: 85229189763
Websites
Chief Compliance Officer
CHEUNG MO YIN
HEAD OF COMPLIANCE
18/F CITIC TOWER, 1 TIM MEI AVENUE
CENTRAL, HONG KONG
HONG KONG
Hong Kong
Tel:
(852) 2600 7731
E*********@*******M
(Full email address available in API data)
Industry Affiliates
| CITIC SECURITIES (HONG KONG) LIMITED | Other investment adviser, including financial planners |
| CITIC SECURITIES BROKERAGE (HK) LIMITED | Insurance company or agency |
| CITIC SECURITIES FUTURES (HK) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CITIC SECURITIES INTERNATIONAL USA, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA (UK) | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLSA AMERICAS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLSA ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| CLSA AUSTRALIA PTY LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA CAPITAL PARTNERS (JAPAN) KK | Other investment adviser, including financial planners |
| CLSA CAPITAL PARTNERS (SINGAPORE) PTE. LTD | Other investment adviser, including financial planners |
| CLSA CAPITAL PARTNERS KOREA LIMITED | Other investment adviser, including financial planners |
| CLSA CLEAN RESOURCES ASIA GROWTH MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CLSA EUROPE BV | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA EXCHANGE CAPITAL, INC. | Other investment adviser, including financial planners |
| CLSA GLOBAL MARKETS PTE LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA INDIA PRIVATE LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| CLSA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLSA LIMITED (SYDNEY BRANCH OFFICE) | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA PHILIPPINES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA PRIVATE EQUITY GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CLSA PRIVATE EQUITY GP V LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CLSA PRIVATE EQUITY MANAGEMENT LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CLSA REAL ESTATE CAPITAL PARTNERS LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| CLSA SECURITIES (THAILAND) LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerFutures commission merchant |
| CLSA SECURITIES JAPAN CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA SECURITIES KOREA LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| CLSA SECURITIES MALAYSIA SDN BHD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLSA SINGAPORE PTE LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLSA SUNRISE MANAGEMENT LIMITED II | Sponsor, GP, manager of pooled investment vehicles |
| CSI GLOBAL MARKETS LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GOLDSTONE INVESTMENT CO., LTD. | Other investment adviser, including financial planners |
| LENDING ARK ASIA SECURED PRIVATE DEBT GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| LENDING ARK ASIA SECURED PRIVATE DEBT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| PT CLSA SEKURITAS INDONESIA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SUNRISE MANAGEMENT (NON-US) LIMITED IV | Sponsor, GP, manager of pooled investment vehicles |
| SUNRISE MANAGEMENT LIMITED III | Sponsor, GP, manager of pooled investment vehicles |
| SUNRISE MANAGEMENT LIMITED IV | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ARIA INVESTMENT PARTNERS III, L.P. | Private Equity Fund | $0.4M | $5.0M | 14 |
| ARIA INVESTMENT PARTNERS IV, L.P. | Private Equity Fund | $13.1M | $10.0M | 2 |
| ARIA INVESTMENT PARTNERS V, L.P. | Private Equity Fund | $3.3M | $10.0M | 3 |
| CLEAN RESOURCES ASIA GROWTH FUND FEEDER L.P. | Private Equity Fund | $0.1M | $5.0M | 1 |
| CLEAN RESOURCES ASIA GROWTH FUND L.P. | Private Equity Fund | $1.3M | $5.0M | 5 |
| FUDO CAPITAL II L.P. | Real Estate Fund | $0.0M | $5.0M | 31 |
| PACIFIC TRANSPORTATION ASIA LLC | Private Equity Fund | $199.7M | $5.0M | 4 |
| SUNRISE CAPITAL II LP | Private Equity Fund | $51.9M | $10.0M | 4 |
| SUNRISE CAPITAL III L.P. | Private Equity Fund | $90.4M | $1.0M | 26 |
| SUNRISE CAPITAL IV (NON-US) L.P. | Private Equity Fund | $68.6M | $1.0M | 9 |
| SUNRISE CAPITAL IV, L.P. | Private Equity Fund | $173.5M | $1.0M | 21 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CITIC SECURITIES CLSA CAPITAL PARTNERS LIMITED | Foreign Entity | – | SHAREHOLDER | 09/2011 | > 75% |
| CLSACP HOLDINGS LIMITED | Foreign Entity | – | DIRECTOR | 09/2011 | < 5% |
| CITIC SECURITIES COMPANY LIMITED | Foreign Entity | CITIC SECURITIES INTERNATIONAL COMPANY LIMITED | INDIRECT SHAREHOLDER | 07/2013 | > 75% |
| CITIC SECURITIES INTERNATIONAL COMPANY LIMITED | Foreign Entity | CITIC SECURITIES CLSA CAPITAL PARTNERS LIMITED | INDIRECT SHAREHOLDER | 07/2013 | > 75% |
| MIN, PETER, JAE SUN | Individual | – | DIRECTOR | 06/2013 | < 5% |
| LEE, CHIA HUAN | Individual | – | DIRECTOR | 07/2016 | < 5% |
| KIYOZUKA, MEGUMI | Individual | – | DIRECTOR | 04/2017 | < 5% |
| TAN, ERIC, CHUNG KEAT | Individual | – | DIRECTOR | 12/2018 | < 5% |
| PARK, GREGORY | Individual | – | DIRECTOR | 10/2017 | < 5% |
| PARK, CAROL, LEE | Individual | – | DIRECTOR | 10/2017 | < 5% |
| HU, BAIFENG | Individual | – | HEAD OF CLSA CAPITAL PARTNERS | 09/2019 | < 5% |
| FENG, SHU | Individual | – | HEAD OF STRATEGY AND BUSINESS DEVELOPMENT / DIRECTOR, REAL ESTATE | 09/2019 | < 5% |
| JIA, WEI | Individual | – | DIRECTOR, CREDIT BUSINESS, STRATEGY & BUSINESS DEVELOPMENT | 09/2019 | < 5% |
| HUNG, YING YEUNG | Individual | – | MD - HEAD OF TRANSACTION MANAGEMENT | 01/2021 | < 5% |
| CHENG, YIU WA | Individual | – | DIRECTOR | 09/2020 | < 5% |
| TOTLA, VAIBHAV | Individual | – | DIRECTOR | 10/2020 | < 5% |
| TAY, GEOK LAN | Individual | – | DIRECTOR | 06/2020 | < 5% |
| LIM, FOOI HIN | Individual | – | DIRECTOR | 02/2022 | < 5% |
| CHEUNG, MO YIN | Individual | – | HEAD OF COMPLIANCE | 09/2020 | < 5% |
| CHUNG, CHEUK FAN MARCO | Individual | – | HEAD OF LEGAL | 04/2021 | < 5% |
| CHIU, KIN KI | Individual | – | OPERATIONS DIRECTOR | 05/2021 | < 5% |
| CHEUNG, YIU LUN | Individual | – | HEAD OF FINANCE | 07/2023 | < 5% |