{"url":"https://nivawealth.com/firms/fidelity-management-and-research-hong-kong-limited-148045","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/148045","regulatoryAum":32549199404,"crd":"148045","secFileNumber":"801-69507","legalName":"Fidelity Management & Research (hong Kong) Limited","displayName":"Fidelity Management & Research (hong Kong) Limited","website":null,"founded":null,"organization":"other (specify) organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"38/F, One International Finance Centre, 1 Harbour View Street, Central","city":"Hong Kong","state":"","stateName":"","country":"Hong Kong","postalCode":null},"tradeNames":["Fidelity Investments"],"registration":{"secApproved":"8 September 2008","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":68,"advisory":39,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":32549199404,"discretionaryAccounts":45,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":4,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":24,"regulatoryAum":25225582000},{"label":"Pooled investment vehicles","clients":2,"regulatoryAum":7322276934},{"label":"Other","clients":null,"regulatoryAum":1340470}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":1340470}],"custodyNote":"Fidelity Management & Research (hong Kong) Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Stephanie Brown","title":"Chief Compliance Officer","crd":"7690144"},{"name":"Mo Wah Chau","title":"Compliance Officer","crd":"8273390"},{"name":"James Hancock","title":"Director","crd":"8035337"},{"name":"Sharon Lecornu","title":"Executive Director","crd":"5576468"},{"name":"James Lenton","title":"Director","crd":"7793565"},{"name":"Nicole Macarchuk","title":"Chief Legal Officer","crd":"5905428"},{"name":"Christopher Rimmer","title":"Head of Asset Management Finance, Treasurer","crd":"4770358"}],"ownership":[{"label":"Fidelity Management & Research Company LLC","detail":"Shareholder in the 75% or more ownership band and a control person, since October 2007."},{"label":"FMR LLC","detail":"Indirect owner: a shareholder of Fidelity Management & Research Company LLC in the 75% or more band and a control person, since October 2007.","parent":"Fidelity Management & Research Company LLC"},{"label":"Abigail Johnson","detail":"Indirect owner: elected manager of FMR LLC and a control person, since May 1994.","parent":"FMR LLC"},{"label":"Edward Johnson IV","detail":"Indirect owner: elected manager of FMR LLC and a control person, since April 2006.","parent":"FMR LLC"},{"label":"Michael Wilens","detail":"Indirect owner: elected manager of FMR LLC and a control person, since October 2014.","parent":"FMR LLC"},{"label":"Stephen Neff","detail":"Indirect owner: elected manager of FMR LLC and a control person, since April 2023.","parent":"FMR LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85237119100","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Other"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"29 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/148045/PDF/148045.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Fidelity Management & Research (hong Kong) Limited have?","answer":"Fidelity Management & Research (hong Kong) Limited has 26 clients and manages $32.5 billion for them, as of June 2026. They include 24 investment companies and 2 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Fidelity Management & Research (hong Kong) Limited offer?","answer":"Fidelity Management & Research (hong Kong) Limited provides portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Fidelity Management & Research (hong Kong) Limited use?","answer":"Fidelity Management & Research (hong Kong) Limited’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $1,340,470. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 June 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Fidelity Management & Research (hong Kong) Limited have?","answer":"Fidelity Management & Research (hong Kong) Limited has 0 investment adviser representatives registered with state securities authorities, out of 68 employees, and 39 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 Fidelity Management & Research (hong Kong) Limited invest in?","answer":"At the end of its last fiscal year, Fidelity Management & Research (hong Kong) Limited’s separately managed accounts held 100% exchange-traded equities. 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 Fidelity Management & Research (hong Kong) Limited?","answer":"Fidelity Management & Research (hong Kong) Limited’s direct owner is Fidelity Management & Research Company LLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Fidelity Management & Research (hong Kong) Limited get paid?","answer":"Fidelity Management & Research (hong Kong) Limited is paid through a percentage of assets under management and other arrangements. Its Form ADV lists no commissions or performance-based fees 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."}