Citic Capital Investment Management Limited (Hong Kong)


Citic Capital Investment Management Limited is a large advisory firm based in Hong Kong. It manages $240 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2005.

Citic Capital Investment Management 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 Limited: assets under management

The assets under management (AUM) of Citic Capital Investment Management Limited is $240 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -21% 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 $18.46 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Citic Capital Investment Management 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 Limited

Yichen Zhang has been acting as President since 1 May 2003. Haitao Zhang has served as the Chief Investment Officer since 1 May 2003. Citic Capital Asset Management Limited joined the executive team most recently as the Shareholder.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Citic Capital Markets Holdings Limited Shareholder 1 May 2003 75% - 100% foreign
Haitao Zhang Chief investment officer 1 May 2003 Other 2897380
Yichen Zhang Director 1 May 2003 Other 1906602
Shu Kwan Choy Director 1 May 2003 Other 5067339
Citic Capital Holdings Limited Shareholder 1 May 2003 75% - 100% foreign
Yichen Zhang Chief executive officer 1 Aug 2003 Other 1906602
Beryl Sze General counsel, chief compliance officer 1 Sep 2003 Other 5067338
Ching Ju Yeh Director 1 Aug 2004 Other 5064998
Dominic Song Ching Li Chief operating officer 1 Oct 2004 Other 1789700
Ngan Tsui Karen Li Head of legal 1 Apr 2006 Other 5192525
Ngan Tsui Li Head of legal 1 Apr 2006 Other 5192525
Citic Capital Asset Management Limited Shareholder 1 Sep 2007 75% - 100% foreign
Yee Man Annie Fung Director 1 Sep 2007 Other 5457750

Indirect Owners

The SEC currently registers 7 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
Citic Capital Holdings Limited Shareholder 1 Sep 2007 50% - 75% foreign
Finestone Asset Management Holdings Limited Shareholder 1 Sep 2007 25% - 50% foreign

Based in Hong Kong

The principal office where Citic Capital Investment Management Limited performs its advisory services is located at 28/F, Citic Tower, 1 Tim Mei Avenue, Hong Kong, , which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number +852-22376888 (HONG KONG) or by fax +852-25238312 (HONG KONG). The normal business hours are 09:00-18:00 on Monday - Friday. You can find more information about the New York firm at www.citiccapital.com.

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