{"url":"https://nivawealth.com/firms/gaoteng-global-asset-management-limited-301825","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/301825","regulatoryAum":13351055790,"crd":"301825","secFileNumber":"801-122938","legalName":"Gaoteng Global Asset Management Limited","displayName":"Gaoteng Global Asset Management Limited","website":null,"linkedinUrl":"https://www.linkedin.com/company/gaoteng-global-asset-management-limited","founded":null,"organization":"corporation organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"Unit 2105-07, 21/F Man Yee Builiding, 68 Des Voeux Road Central, Central","city":"Hong Kong, Hong Kong","state":"","stateName":"","country":"Hong Kong","postalCode":"999077"},"tradeNames":[],"registration":{"secApproved":"3 January 2022","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":46,"advisory":11,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":13351055790,"discretionaryAccounts":22,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":100,"nonAumClients":3},"clientTypes":[{"label":"Individuals (other than HNW)","clients":2,"regulatoryAum":87059},{"label":"High-net-worth individuals","clients":1,"regulatoryAum":1903383},{"label":"Banking or thrift institutions","clients":4,"regulatoryAum":3776769726},{"label":"Investment companies","clients":1,"regulatoryAum":431569},{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":9423938989},{"label":"Insurance companies","clients":2,"regulatoryAum":58094302},{"label":"Corporations and other businesses","clients":3,"regulatoryAum":89830762}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[{"name":"China Merchants Bank Co., LTD.","shortName":"China Merchants Bank","location":"Hong Kong","smaAssets":3476139747}],"custodyNote":"Gaoteng Global Asset Management Limited has custody of $13.35B for 22 clients.","otherCustodians":[],"leadership":[{"name":"Wayne Bi","title":"Chief Executive Officer","crd":"7118709"},{"name":"Jonathan Mo","title":"Chief Operating Officer","crd":"7118710"},{"name":"Yu Li","title":"Chief Investment Officer","crd":"8062856"},{"name":"Man Mandy See","title":"Head of Legal and Compliance","crd":"8056741"}],"ownership":[{"label":"Gaoteng Asset Management HLD","detail":"Sole shareholder in the 75% or more ownership band and a control person, since September 2017."},{"label":"Wisteria Investment Limited","detail":"Indirect owner: a shareholder of Gaoteng Asset Management HLD in the 25% to 50% band and a control person, since September 2017.","parent":"Gaoteng Asset Management HLD"},{"label":"Oriental Power Holdings LTD","detail":"Indirect owner: a shareholder of Wisteria Investment Limited in the 75% or more band and a control person, since September 2017.","parent":"Wisteria Investment Limited"},{"label":"Tencent Holdings, LTD.","detail":"Indirect owner: a shareholder of Oriental Power Holdings LTD in the 75% or more band and a control person, since September 2017.","parent":"Oriental Power Holdings LTD"},{"label":"HH GT Holdings Limited","detail":"Indirect owner: a shareholder of Gaoteng Asset Management HLD in the 25% to 50% band and a control person, since September 2017.","parent":"Gaoteng Asset Management HLD"},{"label":"Hillhouse Fund III, L.P.","detail":"Indirect owner: a shareholder of HH GT Holdings Limited in the 75% or more band and a control person, since September 2017.","parent":"HH GT Holdings Limited"},{"label":"Hillhouse Fund III G.P.","detail":"Indirect owner: shareholder of Hillhouse Fund III, L.P. and a control person, since September 2017.","parent":"Hillhouse Fund III, L.P."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85238928900","stateRegisteredReps":1,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","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":"U.S. government/agency bonds","percent":6},{"label":"Sovereign bonds","percent":8},{"label":"Investment grade corporate bonds","percent":39},{"label":"Non-investment grade corporate bonds","percent":21},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Other","percent":25,"detail":"Other Is All MBS."}],"privateFunds":0},"sources":{"adv1FilingDate":"24 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/301825/PDF/301825.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Gaoteng Global Asset Management Limited have?","answer":"Gaoteng Global Asset Management Limited has 22 clients and manages $13.4 billion for them, as of March 2026. They include 9 pooled investment vehicles, 4 banking or thrift institutions and 3 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Gaoteng Global Asset Management Limited offer?","answer":"Gaoteng Global Asset Management Limited provides portfolio management for individuals and small businesses, 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":"Which custodians does Gaoteng Global Asset Management Limited use?","answer":"Gaoteng Global Asset Management Limited’s separately managed account assets are held at China Merchants Bank Co., LTD. (Hong Kong), with $3,476,139,747. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 24 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Gaoteng Global Asset Management Limited have?","answer":"Gaoteng Global Asset Management Limited has 1 investment adviser representatives registered with state securities authorities, out of 46 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 Gaoteng Global Asset Management Limited invest in?","answer":"At the end of its last fiscal year, Gaoteng Global Asset Management Limited’s separately managed accounts held 39% investment grade corporate bonds, 25% other is all mbs., 21% high-yield corporate bonds, 8% sovereign bonds, 6% U.S. government and agency bonds and 1% registered funds (mutual funds, ETFs, BDCs). 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 Gaoteng Global Asset Management Limited?","answer":"Gaoteng Global Asset Management Limited is owned through a chain of holding companies by Tencent Holdings, LTD. Its direct owner is Gaoteng Asset Management HLD (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 24 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Gaoteng Global Asset Management Limited get paid?","answer":"Gaoteng Global 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."}