Nezu Asia Capital Management Limited (Hong Kong)

Name: Nezu Asia Capital Management Limited
Address: Unit 2306, Level 23 Prosperity Tower, Hong Kong
Telephone: 852 3151 3500

Nezu Asia Capital Management Limited is a large advisory firm based in Hong Kong. It manages $147.36 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2012.

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

Nezu Asia Capital Management Limited: assets under management

The assets under management (AUM) of Nezu Asia Capital Management Limited is $147.36 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -78% since the beginning of its operation, and $99.1 million of the total AUM is attributable to clients outside of the United States.

The firm manages $147.36 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $29.47 million each.

Nezu Asia Capital Management Limited has custody of $64.62 million in cash and securities for 3 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 60% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 23% of the firm’s portfolio. Investments in derivatives form 17% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nezu Asia Capital Management Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Richard Patrick Kincaid serves?

The only and largest group of clients of Richard Patrick Kincaid is pooled investment vehicles with 3 clients and $64.62 million of assets under management. Among the 8 most similar advisory firms, Nezu Asia Capital Management Limited has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $64.62 million for 3 clients. 80% of the firm’s clients are foreign persons or businesses.

Nezu Asia Capital Management Limited also advises several private funds. Namely, three hedge funds. The minimum investment commitment required of non-related persons is $1,000,000 for each fund.

Careers at Nezu Asia Capital Management Limited

The company employs 13 people that are either part- or full-time employees. 23 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Richard Patrick Kincaid has been acting as President since 1 Feb 2004. Shau Ting Loretta Lam joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Richard Patrick Kincaid	Director	1 Feb 2004	Other	4292703
Richard Patrick Kincaid	Chief operating officer, management committee member	1 Apr 2004	Other	4292703
Nicholas Longcroft	Managing director, management committee member	1 Jan 2007	50% - 75%	3264735
Nicholas Longcroft	Shareholder	1 Mar 2011	50% - 75%	3264735
Samuel David Snoddy	Management committee member	1 Apr 2011	Other	6032127
Fuyuki Fujiwara	Management committee member	1 Apr 2011	Other	3020890
Naoaki Nmn Urabe	Management committee member	1 Apr 2011	Other	6032123
Darren John Winia	Chief compliance officer, director of finance	1 Apr 2011	Other	6032126
Naoaki Urabe	Management committee member	1 Apr 2011	Other	6032123
Hanami Holdings Llc	Shareholder	1 Nov 2012	Other	46-1640060
Llc Holly Grove Ii	Shareholder	1 Dec 2012	Other	46-1640037
Llc Holly Grove I	Shareholder	1 Dec 2012	Other	46-1640009
Samuel David Snoddy	Chief executive officer of nezu group	1 Apr 2016	Other	6032127
Maria Angela Cristina Tordesillas	General counsel and chief compliance officer	1 Mar 2017	Other	6776046
Shau Ting Loretta Lam	Chief operating officer	1 Jan 2019	Other	7183706

Indirect Owners

The SEC currently registers 6 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Holly Grove Ii Trust	Managing member	1 Dec 2012	75% - 100%	99-9999999
Holly Grove I Trust	Managing member	1 Dec 2012	75% - 100%	99-9999999
Richard Patrick Kincaid Family Trust	Managing member	1 Dec 2012	Other	99-9999999
Todd David Mayo	Non-discretionary trustee	1 Dec 2012	Other	5031713
Samuel David Snoddy	Investment advisor	1 Dec 2012	Other	6032127
Richard Patrick Kincaid	Investment advisor	1 Dec 2012	Other	4292703

Based in Hong Kong

The principal office where Nezu Asia Capital Management Limited performs its advisory services is located at Unit 2306, Level 23 Prosperity Tower, Hong Kong, , which is also the mailing address of the firm. An additional office of the firm is in New York, NY. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 852 3151 3500 or by fax 852 3151 3550. The normal business hours are 9:00am - 6:00pm on Monday - Friday. You can find more information about the New York firm at nezuasia.com.