AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $123.2 |
| Non-Discretionary | $7.3 |
| Total | $130.5 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $110.4 |
| Institutional | $20.1 |
| Total | $130.5 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| HSBC BANK PLC | LONDON--GBR | $20.4 |
| THE HONG KONG AND SHANGHAI BANKING CORPORATION LIMITED | KOWLOON--HKG | $8.1 |
| US BANK, N.A. | CINCINNATI-OH-USA | $5.1 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $20.1 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $20.1 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 13% | $2.6 |
| Municipal | 0% | $0.0 |
| Sovereign | 6% | $1.2 |
| IG Credit | 69% | $13.9 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 12% | $2.4 |
| Other | 0% | $0.0 |
| Total | 100% | $20.1 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| HSBC GLOBAL ASSET MANAGEMENT (UK) LIMITED | $210.3 | 154700 | |
| HSBC GLOBAL ASSET MANAGEMENT (HONG KONG) LIMITED | $128.4 | 105193 | |
| HSBC SECURITIES (USA) INC. | $3.2 | broker-dealer | 19585 |
| HSBC INVESTMENT FUNDS (HONG KONG) LIMITED | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT ARGENTINA S.A. SOCIEDAD GERENTE DE FONDOS COMUNES DE INVERSION | $0.0 | - | |
| HSBC CONTINENTAL EUROPE LUXEMBOURG | $0.0 | - | |
| THE HONG KONG AND SHANGHAI BANKING CORPORATION LIMITED | $0.0 | - | |
| HSBC BANK PLC | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT LIMITED | $0.0 | - | |
| HSBC ALTERNATIVE INVESTMENTS LIMITED | $0.0 | 172486 | |
| HSBC GLOBAL ASSET MANAGEMENT (FRANCE) | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT (CANADA) LIMITED | $0.0 | 161641 | |
| HSBC CONTINENTAL EUROPE S.A. GERMANY | $0.0 | - | |
| HSBC INVESTMENT FUNDS (LUXEMBOURG) SA | $0.0 | - | |
| HSBC ASSET MANAGEMENT (JAPAN) LIMITED | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT DEUTSCHLAND GMBH | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT (SINGAPORE) LIMITED | $0.0 | - | |
| HSBC GLOBAL ASSET MANAGEMENT (BERMUDA) LIMITED | $0.0 | - | |
| HSBC CONTINENTAL EUROPE IRELAND BRANCH | $0.0 | - | |
| HSBC BANK USA, NATIONAL ASSOCIATION | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
12 active
| Name | Title |
|---|---|
| CURTIS, JAMES, M | LEGAL COUNSEL |
| DAWE, PAUL | CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER, DIRECTOR |
| BRAR, RANDEEP | CHIEF RISK OFFICER, DIRECTOR |
| CAMPBELL, JARON, R | DIRECTOR |
| LEONARD, ERIN | DIRECTOR |
| VON MALTZAHN, SARAH | CHAIRMAN, DIRECTOR |
| DELMAN, BRIAN, EDWARD | CHIEF COMPLIANCE OFFICER |
| VEGA, ERICK, DANIEL | CHIEF INVESTMENT OFFICER |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2025-05-02 | $130.5 | $0.0 | 0% | 101 | 0 | 0% |
| 2025-04-21 | $130.5 | $0.0 | 0% | 101 | 0 | 0% |
| 2024-04-02 | $150.5 | -$20.0 | -13% | 105 | -4 | -4% |
| 2023-04-04 | $135.9 | -$5.4 | -4% | 101 | 0 | 0% |
| 2022-04-01 | $132.7 | -$2.2 | -2% | 100 | 1 | 1% |
| 2021-04-05 | $130.4 | $0.1 | 0% | 106 | -5 | -5% |
| 2020-04-01 | $102.8 | $27.7 | 27% | 143 | -42 | -29% |
| 2019-04-01 | $75.2 | $55.3 | 73% | 142 | -41 | -29% |
| 2018-04-02 | $74.1 | $56.4 | 76% | 146 | -45 | -31% |
| 2017-04-01 | $71.4 | $59.1 | 83% | 145 | -44 | -30% |
| 2016-04-01 | $70.2 | $60.3 | 86% | 128 | -27 | -21% |
| 2015-04-01 | $66.5 | $64.0 | 96% | 121 | -20 | -17% |
| 2014-04-01 | $51.2 | $79.3 | 155% | 110 | -9 | -8% |
| 2013-04-01 | $52.6 | $77.9 | 148% | 110 | -9 | -8% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| NY, AL-06/26/2006, CA-06/26/2006, CO-06/26/2006, DE-07/05/2006, FL-05/21/2024, IL-06/27/2006, LA-07/06/2006, MA-06/26/2006, MI-06/26/2006, NE-04/27/2005, NH-06/26/2006, TX-07/01/2011 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV