{"url":"https://nivawealth.com/firms/wellington-management-hong-kong-limited-165208","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/165208","regulatoryAum":14150803322,"crd":"165208","secFileNumber":"801-77319","legalName":"Wellington Management Hong Kong Limited","displayName":"Wellington Management Hong Kong Limited","website":"https://www.wellington.com","founded":null,"organization":"other (specify) organized in Hong Kong","fiscalYearEnd":"December","headquarters":{"street":"17 F, Two International Finance Centre, 8 Finance Street","city":"Central, Hong Kong","state":"","stateName":"","country":"Hong Kong","postalCode":null},"tradeNames":[],"registration":{"secApproved":"2 January 2013","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":105,"advisory":21,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":11993153836,"discretionaryAccounts":43,"nonDiscretionary":2157649486,"nonDiscretionaryAccounts":6,"wrapProgram":null,"nonUsClientsPct":92,"nonAumClients":5},"clientTypes":[{"label":"Banking or thrift institutions","clients":2,"regulatoryAum":0},{"label":"Pooled investment vehicles","clients":22,"regulatoryAum":3733706556},{"label":"Pension and profit-sharing plans","clients":1,"regulatoryAum":985080557},{"label":"Charitable organizations","clients":2,"regulatoryAum":126074796},{"label":"Other investment advisers","clients":9,"regulatoryAum":3980236976},{"label":"Insurance companies","clients":3,"regulatoryAum":731271969},{"label":"Sovereign wealth funds and foreign official institutions","clients":9,"regulatoryAum":4536296066},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":58136402}],"fees":[],"feeNotes":[],"custodians":[{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":2914912665},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":1449406177},{"name":"J.P. Morgan Chase Bank, National Association","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":2879158606},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":1278588138}],"custodyNote":"Wellington Management Hong Kong Limited has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Linda Soo","title":"Chief Compliance Officer","crd":"7508850"},{"name":"Sarah Curran","title":"Director","crd":"4681841"},{"name":"Ming Hui","title":"Director","crd":"7420367"},{"name":"Erin Murphy","title":"Director","crd":"7612799"},{"name":"Cedric Pouillart","title":"Director","crd":"2854542"},{"name":"Si Ping Yu","title":"Director","crd":"6890374"}],"ownership":[{"label":"Wellington Management Global Holdings, LTD.","detail":"Shareholder in the 75% or more ownership band and a control person, since January 2003."},{"label":"Wellington Investment Advisors Holdings LLP","detail":"Indirect owner: a shareholder of Wellington Management Global Holdings, LTD. in the 75% or more band and a control person, since January 2015.","parent":"Wellington Management Global Holdings, LTD."},{"label":"Wellington Group Holdings LLP","detail":"Indirect owner: a managing partner of Wellington Investment Advisors Holdings LLP in the 75% or more band and a control person, since May 2014.","parent":"Wellington Investment Advisors Holdings LLP"},{"label":"Wellington Management Group LLP","detail":"Indirect owner: a managing partner of Wellington Group Holdings LLP in the 75% or more band and a control person, since May 2014.","parent":"Wellington Group Holdings LLP"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"85228466000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","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":"Exchange-traded equity securities","percent":79},{"label":"U.S. government/agency bonds","percent":1},{"label":"U.S. state and local bonds","percent":2},{"label":"Sovereign bonds","percent":4},{"label":"Investment grade corporate bonds","percent":10},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":1},{"label":"Cash and cash equivalents","percent":1},{"label":"Other","percent":1,"detail":"Asset Backed Securities, Certain Cash Equivalents, and Other Miscellaneous"}],"privateFunds":0},"sources":{"adv1FilingDate":"9 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/165208/PDF/165208.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Wellington Management Hong Kong Limited have?","answer":"Wellington Management Hong Kong Limited has 49 clients and manages $14.2 billion for them, as of July 2026. They include 22 pooled investment vehicles, 9 other investment advisers and 9 sovereign wealth funds and foreign official institutions.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 9 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Wellington Management Hong Kong Limited offer?","answer":"Wellington Management Hong Kong 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 Wellington Management Hong Kong Limited use?","answer":"Wellington Management Hong Kong Limited’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $2,914,912,665, J.P. Morgan Chase Bank, National Association (New York, NY), with $2,879,158,606, The Northern Trust Company (Chicago, IL), with $1,449,406,177 and The Bank of New York Mellon (New York, NY), with $1,278,588,138. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 9 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Wellington Management Hong Kong Limited have?","answer":"Wellington Management Hong Kong Limited has 0 investment adviser representatives registered with state securities authorities, out of 105 employees, and 21 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 Wellington Management Hong Kong Limited invest in?","answer":"At the end of its last fiscal year, Wellington Management Hong Kong Limited’s separately managed accounts held 79% exchange-traded equities, 10% investment grade corporate bonds, 4% sovereign bonds, 2% state and local bonds, 1% U.S. government and agency bonds, 1% high-yield corporate bonds, 1% pooled vehicles (private funds and similar), 1% cash and equivalents and 1% asset backed securities, certain cash equivalents, and other miscellaneous. 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 Wellington Management Hong Kong Limited?","answer":"Wellington Management Hong Kong Limited is owned through a chain of holding companies by Wellington Management Group LLP. Its direct owner is Wellington Management Global Holdings, LTD. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 9 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Wellington Management Hong Kong Limited get paid?","answer":"Wellington Management Hong Kong Limited is paid through a percentage of assets under management, fixed fees 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."}