Cathay Capital Na, LLC is a large advisory firm based in New York. It manages $121.06 million of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2015.
Cathay Capital Na provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.
The assets under management (AUM) of Cathay Capital Na, LLC is $121.06 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 36% since the beginning of its operation, and $121.06 million of the total AUM is attributable to clients outside of the United States.
The advisory firm has several streams of revenue. Clients pay Cathay Capital Na, LLC 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.
The only and largest group of clients of Cathay Capital Na is pooled investment vehicles with 2 clients and $121.06 million of assets under management. Among the 13 most similar advisory firms, Cathay Capital Na has the 2nd highest percentage of pooled investment vehicles out of all clients.
The amount of regulatory assets under management is $121.06 million for 2 clients. 100% of the firm’s clients are foreign persons or businesses.
Cathay Capital Na also advises several private funds. Namely, one private equity fund.
The company employs 16 people that are either part- or full-time employees. 81 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.
There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.
The principal office where Cathay Capital Na, LLC performs its advisory services is located at 390 Park Avenue, New York, NY 10022, 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 212-858-9020. The normal business hours are 9a - 5p on Monday - Friday. You can find more information about the New York firm at cathay.fr.