Overview
A. Description of the Advisory Firm
Incorporated in September 2008 in Hong Kong, HGI is a wholly-owned subsidiary of Harvest Fund
Management Co., Ltd (“HFM”). HGI has been registered with the SFC in Hong Kong pursuant to the Hong
Kong Securities and Futures Ordinance to conduct the regulated activities of 1) advising on securities (Type
4) and asset management (Type 9) since February 2009, and 2) dealing in securities (Type 1) since November
2010. Our parent company was incorporated in 1999 and is a significant investment firm headquartered in
Beijing, China. The owners of HFM are China Credit Trust Co., Ltd, Lixin Investment Co., Ltd and DWS
Investments Singapore Limited. More information is available in our Form ADV Part 1.
We provide discretionary portfolio management services to our clients, sometimes with the assistance of
HFM, serving as the investment adviser to pooled investment vehicles (“funds”) sponsored by other
financial firms. We also provide investment advisory services on behalf of sophisticated institutional
investors to separately managed accounts. We categorize our services as Fund Advisory and Separate
Accounts.
We may in future provide portfolio management services to funds sponsored by HFM and may serve certain
high net worth individuals.
While client investment mandates vary, our investment focus is largely on Asia, in certain cases
predominantly
on China, with limited amounts of investment in other markets. We may invest client assets
across a range of investment classes, but, generally, investment focuses on equity and fixed income
securities. We may also invest in derivative instruments, most often for hedging and portfolio management
purposes. More information on the strategies we utilize, and the risks often associated with them, can be
found in Item 8. Clients or investors should also consult the relevant offering document or investment
supervisory agreement for a more complete discussion of risks and investment strategies.
In each case, we will provide services to our clients according to an executed Investment Management
Agreement detailing client-imposed investment guidelines and, if applicable, restrictions.
Following a federal court order issued on June 17, 2020 and relating to certain regulatory settlements
entered into by an affiliate outside of the Harvest Group, HGI relies on an order issued by the Securities and
Exchange Commission under the Investment Company Act of 1940, as amended (“ICA”) on October 20,
2020, permitting it to continue to provide investment advisory services to investment companies registered
under the ICA.
Client Assets
As of December 31, 2023, we manage the following assets:
Discretionary Assets (US$'000) US$ 3,459,367
Non-discretionary Assets (US$'000) US$ 0
Total US$ 3,459,367