Cathay Capital Na, LLC (New York)

Name: Cathay Capital Na, LLC
Address: 390 Park Avenue, New York, NY, 10022
Telephone: 212-858-9020

Cathay Capital Na, LLC is a large advisory firm based in New York. It manages $121.06 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2015.

Cathay Capital Na 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.

Cathay Capital Na: assets under management

The assets under management (AUM) of Cathay Capital Na, LLC is $121.06 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and $121.06 million of the total AUM is attributable to clients outside of the United States.

The firm manages $121.06 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $60.53 million each.

Cathay Capital Na has custody of $108.09 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cathay Capital Na, LLC 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 Cathay Capital Na serves?

The only and largest group of clients of Cathay Capital Na is pooled investment vehicles with 2 clients and $121.06 million of assets under management. Among the 13 most similar advisory firms, Cathay Capital Na has the 2nd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $121.06 million for 2 clients. 100% of the firm’s clients are foreign persons or businesses.

Cathay Capital Na also advises several private funds. Namely, one private equity fund.

Careers at Cathay Capital Na, LLC

The company employs 16 people that are either part- or full-time employees. 81 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.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Mingpo Cai	President, chief executive officer, treasurer, secretary	1 Jun 2006	Other	6520571
David Gordon Hoffman	Managing partner	1 Nov 2013	Other	6023581
Ningfeng Hu	Managing partner	1 Mar 2015	Other	6533631
Lanchun Duan	Managing partner	1 Mar 2015	Other	6533638
Cathay Capital Private Equity Llc	Sole member	1 May 2015	75% - 100%	99-0363967
Emily K Silva	Chief compliance officer	1 Jul 2015	Other	3224656
Andre Puong	Partner, chief compliance officer	1 Feb 2018	Other	6915045
Mark Matvey Woods	Partner	1 Feb 2018	Other	5391935

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Mingpo Cai	Shareholder	1 Jun 2011	75% - 100%	6520571
Cathay Capital Europe S.A.R.L.	Shareholder	1 Jun 2011	75% - 100%	foreign

Based in New York

The principal office where Cathay Capital Na, LLC performs its advisory services is located at 390 Park Avenue, New York, NY 10022, 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 212-858-9020. The normal business hours are 9a - 5p on Monday - Friday. You can find more information about the New York firm at cathay.fr.