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RIA / WealthRegistered adviserasset managerSEC registeredRAUM under $100M

CATHAY CAPITAL NA, LLC

CRD 268816

NEW YORK, NY

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Search this name across graphsid dfx:ria:80194b3b-fe2a-1739-6cbb-471263efb8db

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 2
Observed: Jul 22, 2015 to Mar 27, 2026
22 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

Cathay Capital Na, LLC

Private equity manager · shared crd

Independent Sponsorsidentity

Cathay Capital Na, LLC

Capital provider to sponsors · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $76.6MItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $76.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees: 4
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 6
Individual clients: 0
High net worth clients: 0
Private funds: 3Schedule D 7.B(1)
SEC number: 801-104468
CRD: 268816
Filings on the tape: 22
First filed: Jul 22, 2015
Latest filed: Mar 27, 2026
Organised: Limited Liability Company, DE
Website: cathaycapital.com

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (COLLECTOR), LP	Private Equity Fund	$105M	Mar 28, 2024	30	Mar 22, 2016	reported	021-247116
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B) LP	Private Equity Fund	$84.9M	Nov 23, 2015	16	Nov 20, 2015	dropped	021-247122
CATHAY MORPHEUS, LP	Private Equity Fund	$19.2M	Mar 28, 2024	7	Mar 31, 2023	reported	n/a
CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A) LP	Private Equity Fund	$4.4M	Nov 23, 2015	6	Nov 20, 2015	dropped	021-247116

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CAI, MINGPO	Shareholder	D	yes	06/2011	Jul 22, 2015	Mar 28, 2024
CAI, MINGPO	PRESIDENT, CHIEF EXECUTIVE OFFICER, TREASURER, SECRETARY	Na	yes	06/2006	Jul 22, 2015	Mar 28, 2024
CATHAY CAPITAL EUROPE S.A.R.L.	Shareholder	E	yes	06/2011	Jul 22, 2015	Mar 28, 2024
CATHAY CAPITAL PRIVATE EQUITY LLC	Member	E	yes	05/2015	Jul 22, 2015	Mar 28, 2024
Puong, Andre	PARTNER, CHIEF COMPLIANCE OFFICER	A	yes	02/2018	Mar 6, 2018	Mar 28, 2024
WOODS, MARK, MATVEY	Partner	B	yes	02/2018	Mar 6, 2018	Mar 28, 2024

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
CATHAY CAPITAL EUROPE S.A.R.L.	n/a	n/a	n/a	Y	yes	n/a
CATHAY CAPITAL NORTH AMERICAN-SINO FUND GP, LP	n/a	n/a	n/a	Y	yes	n/a
CATHAY CAPITAL PRIVATE EQUITY SAS	n/a	n/a	n/a	N	yes	n/a
CATHAY MORPHEUS GP, LLC	n/a	n/a	n/a	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
PUDONG SHANGHAI	n/a	China	2	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026	$76.6M	$76.6M	6	4	1	3	n/a
2024	Mar 19, 2025	$105M	$105M	4	4	1	2	n/a
2023	Mar 28, 2024	$125M	$125M	7	6	1	2	$125M
2022	Mar 31, 2023	$128M	$128M	9	7	1	2	$128M
2021	Mar 30, 2022	$125M	$125M	10	8	1	1	$125M
2020	Mar 26, 2021	$110M	$110M	13	11	1	1	$110M
2019	Mar 24, 2020	$126M	$126M	14	14	1	1	$126M
2018	Mar 29, 2019	$121M	$121M	16	13	1	1	$121M
2017	Mar 6, 2018	$112M	$112M	27	22	1	1	$112M
2016	Mar 15, 2017	$108M	$108M	27	22	n/a	1	$108M
2015	Mar 22, 2016	$89.3M	$89.3M	25	17	n/a	1	$89.3M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$76.6M	$105M	-26.9%	$128M	-15.8%	6	4	1	1

Relationships

Advises (4)

→ CATHAY MORPHEUS, LPPrivate fundPrivate Equity Fund, IA
Mar 31, 2023 to presentfactForm ADV
→ CATHAY CAPITAL NORTH AMERICAN-SINO FUND (COLLECTOR), LPPrivate fundPrivate Equity Fund, IA
Mar 22, 2016 to presentfactForm ADV
→ CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A) LPPrivate fundPrivate Equity Fund, IA, no longer reported
Nov 20, 2015 to Nov 23, 2015factForm ADV
→ CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B) LPPrivate fundPrivate Equity Fund, IA, no longer reported
Nov 20, 2015 to Nov 23, 2015factForm ADV

Controls (5)

← WOODS, MARK, MATVEYOwnerPARTNER, ownership code B, individual
Mar 6, 2018 to Mar 28, 2024factForm ADV
← CAI, MINGPOOwnerSHAREHOLDER, ownership code D, individual
Jul 22, 2015 to Mar 28, 2024factForm ADV
← Puong, AndreOwnerPARTNER, CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 6, 2018 to Mar 28, 2024factForm ADV
← CATHAY CAPITAL EUROPE S.A.R.L.OwnerSHAREHOLDER, ownership code E, foreign entity
Jul 22, 2015 to Mar 28, 2024factForm ADV
← CATHAY CAPITAL PRIVATE EQUITY LLCOwnerMEMBER, ownership code E, domestic entity
Jul 22, 2015 to Mar 28, 2024factForm ADV

Dated events

Occurred
Mar 24, 2020
Control person left
Lanchun Duan (Managing Partner) no longer on Schedule A of Cathay Capital Na, Llc (listed 2019-03-29, absent 2020-03-24)
Form ADVobserved 4 days ago
Occurred
Mar 29, 2019
Control person left
Gordon David Hoffman (Senior Advisor/ Member) no longer on Schedule A of Cathay Capital Na, Llc (listed 2018-08-22, absent 2019-03-29)
Form ADVobserved 4 days ago
Occurred
Jul 22, 2015
First Form ADV filing
Cathay Capital Na, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:80194b3b-fe2a-1739-6cbb-471263efb8db
First observed: Jul 22, 2015
Last observed: Mar 27, 2026 5 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

CATHAY CAPITAL NA, LLC

CRD 268816

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:80194b3b-fe2a-1739-6cbb-471263efb8db

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:50 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (COLLECTOR), LP

Private Equity Fund

$105M

Mar 28, 2024

Mar 22, 2016

reported

021-247116

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B) LP

Private Equity Fund

$84.9M

Nov 23, 2015

Nov 20, 2015

dropped

021-247122

CATHAY MORPHEUS, LP

Private Equity Fund

$19.2M

Mar 28, 2024

Mar 31, 2023

reported

n/a

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A) LP

Private Equity Fund

$4.4M

Nov 23, 2015

Nov 20, 2015

dropped

021-247116

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAI, MINGPO

Shareholder

yes

06/2011

Jul 22, 2015

Mar 28, 2024

CAI, MINGPO

PRESIDENT, CHIEF EXECUTIVE OFFICER, TREASURER, SECRETARY

yes

06/2006

Jul 22, 2015

Mar 28, 2024

CATHAY CAPITAL EUROPE S.A.R.L.

Shareholder

yes

06/2011

Jul 22, 2015

Mar 28, 2024

CATHAY CAPITAL PRIVATE EQUITY LLC

Member

yes

05/2015

Jul 22, 2015

Mar 28, 2024

Puong, Andre

PARTNER, CHIEF COMPLIANCE OFFICER

yes

02/2018

Mar 6, 2018

Mar 28, 2024

WOODS, MARK, MATVEY

Partner

yes

02/2018

Mar 6, 2018

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CATHAY CAPITAL EUROPE S.A.R.L.

n/a

yes

n/a

CATHAY CAPITAL NORTH AMERICAN-SINO FUND GP, LP

n/a

yes

n/a

CATHAY CAPITAL PRIVATE EQUITY SAS

n/a

yes

n/a

CATHAY MORPHEUS GP, LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

PUDONG SHANGHAI

n/a

China

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 27, 2026

$76.6M

n/a

2024

Mar 19, 2025

$105M

n/a

2023

Mar 28, 2024

$125M

2022

Mar 31, 2023

$128M

2021

Mar 30, 2022

$125M

2020

Mar 26, 2021

$110M

2019

Mar 24, 2020

$126M

2018

Mar 29, 2019

$121M

2017

Mar 6, 2018

$112M

2016

Mar 15, 2017

$108M

n/a

$108M

2015

Mar 22, 2016

$89.3M

n/a

$89.3M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$76.6M

$105M

-26.9%

$128M

-15.8%