Citic Capital Investment Management (Cayman) Limited (George Town)

Name: Citic Capital Investment Management (Cayman) Limited
Address: 309 Gt, Ugland House, George Town
Telephone: +852-2237-6888 (HONG KONG)

Citic Capital Investment Management (Cayman) Limited is a large advisory firm based in George Town. It manages $240 million of regulatory assets for 12 client accounts. It has been registered with the SEC as an adviser since 2005.

Citic Capital Investment Management (Cayman) Limited provides portfolio management for individuals and small businesses, portfolio management for pooled investment vehicles, and market timing services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Citic Capital Investment Management (Cayman) Limited: assets under management

The assets under management (AUM) of Citic Capital Investment Management (Cayman) Limited is $240 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -18% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $240 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $20 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Citic Capital Investment Management (Cayman) Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Citic Capital Investment Management (Cayman) Limited

Brian Joseph Doyle has been acting as President since 1 Aug 2005. Haitao Zhang has served as the Chief Investment Officer since 1 Jun 2003 and Yichen Zhang is the Chief Executive Officer of Citic Capital Investment Management (Cayman) Limited family office. Ngan Tsui Karen Li joined the executive team most recently as the Head Of Legal.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Citic Capital Holdings Limited	Shareholder	1 Jun 2003	75% - 100%	foreign
Haitao Zhang	Chief investment officer	1 Jun 2003	Other	2897380
William John Penson Lawton	Director	1 Jun 2003	Other	865963
Citic Capital Markets Holdings Limited	Shareholder	1 Jun 2003	75% - 100%	foreign
Yichen Zhang	Chief executive officer	1 Aug 2003	Other	1906602
Beryl Sze	Chief compliance officer, general counsel	1 Sep 2003	Other	5067338
Dominic Song Ching Li	Chief operating officer	1 Oct 2004	Other	1789700
Brian Joseph Doyle	Director	1 Aug 2005	Other	2378844
Terence Francis Mahony	Director	1 Aug 2005	Other	317373
Annie Yee Man Fung	Director	1 Aug 2005	Other	5064996
Ching Ju Yeh	Director	1 Aug 2005	Other	5064998
Ngan Tsui Karen Li	Head of legal	1 Apr 2006	Other	5192525
Ngan Tsui Li	Head of legal	1 Apr 2006	Other	5192525

Indirect Owners

The SEC currently registers 5 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Citic Group	Shareholder	1 Jun 1986	50% - 75%	foreign
Citic Group	Shareholder	1 May 1987	75% - 100%	foreign
Citic Hong Kong (Holdings) Limited	Shareholder	1 Mar 1990	25% - 50%	foreign
Citic International Financial Holdings Limited	Shareholder	1 Feb 2002	50% - 75%	foreign
Citic Pacific Limited	Shareholder	1 May 2002	50% - 75%	foreign

Based in George Town

The principal office where Citic Capital Investment Management (Cayman) Limited performs its advisory services is located at 309 Gt, Ugland House, George Town, The mailing address of the firm is C/O 28/F Citic Tower, Central, Hong Kong, . It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number +852-2237-6888 (HONG KONG) or by fax +852-2523-8312 (HONG KONG). The normal business hours are 0900-1800 on Monday - Friday. You can find more information about the New York firm at www.citiccapital.com.