Citic Capital Investment Management Limited (Hong Kong)

Name: Citic Capital Investment Management Limited
Address: 28/F, Citic Tower, 1 Tim Mei Avenue, Hong Kong
Telephone: +852-22376888 (HONG KONG)

Citic Capital Investment Management Limited is a large advisory firm based in Hong Kong. It manages $240 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2005.

Citic Capital Investment Management Limited provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Citic Capital Investment Management Limited: assets under management

The assets under management (AUM) of Citic Capital Investment Management Limited is $240 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -21% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $240 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $18.46 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Citic Capital Investment Management Limited for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Citic Capital Investment Management Limited

Yichen Zhang has been acting as President since 1 May 2003. Haitao Zhang has served as the Chief Investment Officer since 1 May 2003. Citic Capital Asset Management Limited joined the executive team most recently as the Shareholder.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Citic Capital Markets Holdings Limited	Shareholder	1 May 2003	75% - 100%	foreign
Haitao Zhang	Chief investment officer	1 May 2003	Other	2897380
Yichen Zhang	Director	1 May 2003	Other	1906602
Shu Kwan Choy	Director	1 May 2003	Other	5067339
Citic Capital Holdings Limited	Shareholder	1 May 2003	75% - 100%	foreign
Yichen Zhang	Chief executive officer	1 Aug 2003	Other	1906602
Beryl Sze	General counsel, chief compliance officer	1 Sep 2003	Other	5067338
Ching Ju Yeh	Director	1 Aug 2004	Other	5064998
Dominic Song Ching Li	Chief operating officer	1 Oct 2004	Other	1789700
Ngan Tsui Karen Li	Head of legal	1 Apr 2006	Other	5192525
Ngan Tsui Li	Head of legal	1 Apr 2006	Other	5192525
Citic Capital Asset Management Limited	Shareholder	1 Sep 2007	75% - 100%	foreign
Yee Man Annie Fung	Director	1 Sep 2007	Other	5457750

Indirect Owners

The SEC currently registers 7 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Citic Group	Shareholder	1 Jun 1986	50% - 75%	foreign
Citic Group	Shareholder	1 May 1987	75% - 100%	foreign
Citic Hong Kong (Holdings) Limited	Shareholder	1 Mar 1990	25% - 50%	foreign
Citic International Financial Holdings Limited	Shareholder	1 Feb 2002	50% - 75%	foreign
Citic Pacific Limited	Shareholder	1 May 2002	50% - 75%	foreign
Citic Capital Holdings Limited	Shareholder	1 Sep 2007	50% - 75%	foreign
Finestone Asset Management Holdings Limited	Shareholder	1 Sep 2007	25% - 50%	foreign

Based in Hong Kong

The principal office where Citic Capital Investment Management Limited performs its advisory services is located at 28/F, Citic Tower, 1 Tim Mei Avenue, Hong Kong, , which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number +852-22376888 (HONG KONG) or by fax +852-25238312 (HONG KONG). The normal business hours are 09:00-18:00 on Monday - Friday. You can find more information about the New York firm at www.citiccapital.com.