{"url":"https://nivawealth.com/firms/first-sentier-investors-hong-kong-limited-281553","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/281553","regulatoryAum":32874051381,"crd":"281553","secFileNumber":"801-106686","legalName":"First Sentier Investors (hong Kong) Limited","displayName":"First Sentier Investors (hong Kong) Limited","website":"https://www.firstsentierinvestors.com","founded":null,"organization":"corporation organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"Level 25, One Exchange Square,, 8 Connaught Place","city":"Hong Kong","state":"","stateName":"","country":"Hong Kong","postalCode":null},"tradeNames":["First Sentier Group","First Sentier Investors","Fssa Investment Managers","Igneo Infrastructure Partners","Rqi Investors"],"registration":{"secApproved":"23 September 2015","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":87,"advisory":11,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":32874051381,"discretionaryAccounts":28,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":93,"nonAumClients":0},"clientTypes":[{"label":"Pooled investment vehicles","clients":10,"regulatoryAum":23304258147},{"label":"Pension and profit-sharing plans","clients":5,"regulatoryAum":3243781965},{"label":"State or municipal government entities","clients":7,"regulatoryAum":3410920684},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":2915090585}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"First Sentier Investors (hong Kong) Limited does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Amanda Gazal","title":"Chief Operating Officer","crd":"7869468"},{"name":"Chung Piau Chia","title":"Director of Fsihk & Head of Finance, Asia","crd":"7198223"},{"name":"Chin Ting Goh","title":"Fsi HK Director, and Head of Intermediary Business, Asia","crd":"7975824"},{"name":"Eliza Hui","title":"Head of Legal and Company Secretary, Asia","crd":"6109021"},{"name":"Lauren Prendiville","title":"Director of Fsihk, Global Head of Distribution, Marketing and Communications","crd":"6981651"},{"name":"Kian Poh Teo","title":"Head of Regulatory Compliance & Financial Crime Compliance (mlro) Asia","crd":"6804690"},{"name":"Emma Tetley","title":"Fsi HK Director, and Head of Apac Regulatory Compliance and Global Head of Financial Crime Compliance","crd":"7352448"}],"ownership":[{"label":"First Sentier Investors Asia Holdings Limited","detail":"Holding company of first sentier investors (hong kong) limited in the 75% or more ownership band and a control person, since February 1992."},{"label":"Mitsubishi Ufj Financial Group, Inc.","detail":"Indirect owner: a shareholder / head parent company of Mitsubishi Ufj Trust and Banking Corporation in the 75% or more band and a control person, since August 2019.","parent":"Mitsubishi Ufj Trust and Banking Corporation"},{"label":"Mitsubishi Ufj Trust and Banking Corporation","detail":"Indirect owner: a shareholder of First Sentier Group Limited in the 75% or more band and a control person, since August 2019.","parent":"First Sentier Group Limited"},{"label":"First Sentier Group Limited","detail":"Indirect owner: a shareholder of First Sentier Investors Asia Holdings Limited in the 75% or more band and a control person, since August 2019.","parent":"First Sentier Investors Asia Holdings Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85228467555","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":87},{"label":"Sovereign bonds","percent":1},{"label":"Investment grade corporate bonds","percent":11},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"21 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/281553/PDF/281553.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does First Sentier Investors (hong Kong) Limited have?","answer":"First Sentier Investors (hong Kong) Limited has 28 clients and manages $32.9 billion for them, as of September 2026. They include 10 pooled investment vehicles, 7 state or municipal government entities and 6 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does First Sentier Investors (hong Kong) Limited offer?","answer":"First Sentier Investors (hong Kong) 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 First Sentier Investors (hong Kong) Limited have?","answer":"First Sentier Investors (hong Kong) Limited has 0 investment adviser representatives registered with state securities authorities, out of 87 employees, and 11 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 First Sentier Investors (hong Kong) Limited invest in?","answer":"At the end of its last fiscal year, First Sentier Investors (hong Kong) Limited’s separately managed accounts held 87% exchange-traded equities, 11% investment grade corporate bonds, 1% sovereign bonds and 1% 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 First Sentier Investors (hong Kong) Limited?","answer":"First Sentier Investors (hong Kong) Limited is owned through a chain of holding companies by Mitsubishi Ufj Financial Group, Inc. Its direct owner is First Sentier Investors Asia Holdings Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does First Sentier Investors (hong Kong) Limited get paid?","answer":"First Sentier Investors (hong Kong) 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."}