{"url":"https://nivawealth.com/firms/csop-asset-management-limited-170206","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/170206","regulatoryAum":25872126867,"crd":"170206","secFileNumber":"801-79092","legalName":"Csop Asset Management Limited","displayName":"Csop Asset Management Limited","website":"http://www.csopasset.com","linkedinUrl":"https://hk.linkedin.com/company/csop-asset-management","founded":null,"organization":"other (specify) organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"2801-2803, Two Exchange Square, 8 Connaught Place","city":"Central","state":"","stateName":"","country":"Hong Kong","postalCode":null},"tradeNames":[],"registration":{"secApproved":"11 February 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":145,"advisory":24,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":25768799592,"discretionaryAccounts":75,"nonDiscretionary":103327275,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":0},"clientTypes":[{"label":"Other investment advisers","clients":1,"regulatoryAum":34453108},{"label":"Insurance companies","clients":1,"regulatoryAum":99929014},{"label":"Corporations and other businesses","clients":2,"regulatoryAum":7191249},{"label":"Other","clients":73,"regulatoryAum":25730553496}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Csop Asset Management Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Chen Ding","title":"Chief Executive Officer","crd":"4376427"},{"name":"Gang Zhou","title":"Chief Financial Officer","crd":"6760774"},{"name":"Michelle Wong","title":"Chief Compliance Officer, Chief Legal Officer","crd":"6460306"},{"name":"Zhongping Cai","title":"Director","crd":"6459756"},{"name":"Chen Li","title":"Director","crd":"8234756"},{"name":"Qin Wang","title":"Director","crd":"8234760"},{"name":"Chen Wang","title":"Chief Operations Officer","crd":"7884443"},{"name":"Xiaosong Yang","title":"Director","crd":"6459755"},{"name":"Huachen Zhang","title":"Director","crd":"8234761"},{"name":"Yi Zhou","title":"Director","crd":"6888860"}],"ownership":[{"label":"China Southern Asset Management Co. LTD.","detail":"Shareholder in the 50% to 75% ownership band and a control person, since July 2008."},{"label":"Kingston Smart Limited","detail":"Shareholder in the 25% to 50% ownership band and a control person, since July 2019."},{"label":"Gofintech Quantum Innovation Limited","detail":"Shareholder in the 10% to 25% ownership band and a control person, since January 2026."},{"label":"Huatai Securities Co., LTD.","detail":"Indirect owner: a shareholder of China Southern Asset Management Co. LTD. in the 25% to 50% band and a control person, since April 2008.","parent":"China Southern Asset Management Co. LTD."},{"label":"Shenzhen Investment Holdings Co., LTD.","detail":"Indirect owner: a shareholder of China Southern Asset Management Co. LTD. in the 25% to 50% band and a control person, since April 2008.","parent":"China Southern Asset Management Co. LTD."},{"label":"State-Owned Assets Supervision and Management Commission of Shenzhen Municipal People'S Government","detail":"Indirect owner: a shareholder of Shenzhen Investment Holdings Co., LTD. in the 75% or more band and a control person, since April 2008.","parent":"Shenzhen Investment Holdings Co., LTD."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85234065652","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":91},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"19 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/170206/PDF/170206.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Csop Asset Management Limited have?","answer":"Csop Asset Management Limited has 77 clients and manages $25.9 billion for them, as of March 2026. They include 73 other clients, 2 corporations and other businesses and 1 other investment advisers.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Csop Asset Management Limited offer?","answer":"Csop Asset Management Limited provides portfolio management for pooled vehicles and portfolio management for institutions.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Csop Asset Management Limited have?","answer":"Csop Asset Management Limited has 0 investment adviser representatives registered with state securities authorities, out of 145 employees, and 24 perform investment advisory functions. None are registered representatives of a broker-dealer or licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Csop Asset Management Limited invest in?","answer":"At the end of its last fiscal year, Csop Asset Management Limited’s separately managed accounts held 91% exchange-traded equities and 9% cash and equivalents. It advises no private funds of its own.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Csop Asset Management Limited?","answer":"Csop Asset Management Limited is owned through a chain of holding companies by Huatai Securities Co., LTD. and State-Owned Assets Supervision and Management Commission of Shenzhen Municipal People'S Government. Its direct owners are China Southern Asset Management Co. LTD. (50% to 75%), Kingston Smart Limited (25% to 50%) and Gofintech Quantum Innovation Limited (10% to 25%).","source":"Form ADV Part 1A, Schedules A and B, filed 19 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Csop Asset Management Limited get paid?","answer":"Csop Asset Management Limited is paid through a percentage of assets under management and performance-based fees. Its Form ADV lists no commissions among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}