Nikko Asset Management Hong Kong Limited (Hong Kong)

Nikko Asset Management Hong Kong Limited is an adviser based in Hong Kong. It has been registered with the SEC as an adviser since 2012.

Nikko Asset Management Hong Kong Limited provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Nikko Asset Management Hong Kong Limited for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Nikko Asset Management Hong Kong Limited

The company employs 9 people that are either part- or full-time employees. 33 percent of the employees work as investment advisers or researchers. 3 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.

Andrew Ross Long has been acting as President since 1 Mar 2014. Kiyotaka Ryu joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Nikko Asset Management Asia Limited	Shareholder	1 Aug 1999	75% - 100%	foreign entity
Chon Kiat Teo	Director	1 Sep 2010	Other	6032851
Blair Chilton Pickerell	Ceo & director	1 Sep 2011	Other	4673481
Nikko Asset Management International Limited	Shareholder	1 Sep 2011	75% - 100%	foreign entity
Charles Beazley	Director	1 Sep 2011	Other	4938575
Rodney Keng Chai Lim	Chief compliance officer	1 Oct 2011	Other	5993741
Don Ming Hua Wang	Chief legal officer	1 Dec 2011	Other	6030132
Andrew Ross Long	Director	1 Mar 2014	Other	6223921
Cynthia Sze Lai Yeung	Chief compliance officer	1 Apr 2014	Other	6364632
David Jonathan Semaya	Director	1 Mar 2015	Other	1807547
Yasuaki Ogiwara	Director	1 Jul 2015	Other	6091334
Eleanor Oon Hui Seet	Director	1 Aug 2015	Other	2936567
Junichi Sayato	Director	1 Mar 2017	Other	6528352
Kiyotaka Ryu	Director	1 Mar 2019	Other	7051206

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Ltd. Nikko Asset Management Co.	Shareholder	1 Apr 1990	75% - 100%	foreign entity
Limited Sumitomo Mitsui Trust Bank	Shareholder	1 Oct 2009	75% - 100%	foreign entity
Ltd The Sumitomo Trust And Banking Co.	Shareholder	1 Oct 2009	75% - 100%	foreign entity
Sumitomo Mitsui Trust Holdings Inc.	Shareholder	1 Apr 2011	75% - 100%	foreign entity

Based in Hong Kong

The principal office where Nikko Asset Management Hong Kong Limited performs its advisory services is located at 2401 2403 Man Yee Building, Hong Kong, , which is also the mailing address of the firm. The firm also has an office outside of the United States.