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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

OBERWEIS ASSET MANAGEMENT (ASIA) LIMITED

CRD 148408

CENTRAL HONG KONG

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:95a7c360-b4d5-1457-8dd3-aa2069c1c026

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 1, 2013
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $121MItem 5.F on the latest filing (2013-04-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $121M
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: 4
Advisory employees: 3
Accounts: 2
SEC number: 801-69641
CRD: 148408
Filings on the tape: 2
First filed: Mar 30, 2012
Latest filed: Apr 1, 2013
Organised: Corporation

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
JOYCE, PATRICK, BRIAN	CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR	Na	yes	03/2007	Mar 30, 2012	Apr 1, 2013
OBERWEIS ASSET MANAGEMENT INC	Shareholder	E	yes	03/2007	Mar 30, 2012	Apr 1, 2013
OBERWEIS, JAMES, WALTER	PRESIDENT, DIRECTOR	D	yes	11/1994	Mar 30, 2012	Apr 1, 2013
OBERWEIS, JAMES, WALTER	CHAIRMAN, DIRECTOR	Na	yes	03/2007	Mar 30, 2012	Apr 1, 2013
WONG, JOHN, CHAI PENG	PRESIDENT, DIRECTOR	Na	yes	12/2010	Mar 30, 2012	Apr 1, 2013

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
OBERWEIS ASSET MANAGEMENT INC	n/a	Asset manager	$5.1B	Y	no	n/a
OBERWEIS PUBLISHING COMPANY, LLC	n/a	n/a	n/a	N	yes	n/a
OBERWEIS SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a

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
2012	Apr 1, 2013	$121M	$121M	4	3	n/a	n/a	n/a
2011	Mar 30, 2012	$120M	$120M	n/a	n/a	n/a	n/a	n/a

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
2012	$121M	$120M	0.4%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ OBERWEIS ASSET MANAGEMENT INCRegistered adviserother investment adviser, control
factForm ADV

Controls (4)

← OBERWEIS ASSET MANAGEMENT INCOwnerSHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← JOYCE, PATRICK, BRIANOwnerCHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← WONG, JOHN, CHAI PENGOwnerPRESIDENT, DIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← OBERWEIS, JAMES, WALTEROwnerPRESIDENT, DIRECTOR, ownership code D, individual
Mar 30, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:95a7c360-b4d5-1457-8dd3-aa2069c1c026
First observed: Mar 30, 2012
Last observed: Apr 1, 2013 164 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.

OBERWEIS ASSET MANAGEMENT (ASIA) LIMITED

CRD 148408

CENTRAL HONG KONG

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:95a7c360-b4d5-1457-8dd3-aa2069c1c026

Data as of Apr 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:58 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JOYCE, PATRICK, BRIAN

CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, EXECUTIVE VICE PRESIDENT, DIRECTOR

yes

03/2007

Mar 30, 2012

Apr 1, 2013

OBERWEIS ASSET MANAGEMENT INC

Shareholder

yes

03/2007

Mar 30, 2012

Apr 1, 2013

OBERWEIS, JAMES, WALTER

PRESIDENT, DIRECTOR

yes

11/1994

Mar 30, 2012

Apr 1, 2013

OBERWEIS, JAMES, WALTER

CHAIRMAN, DIRECTOR

yes

03/2007

Mar 30, 2012

Apr 1, 2013

WONG, JOHN, CHAI PENG

PRESIDENT, DIRECTOR

yes

12/2010

Mar 30, 2012

Apr 1, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

OBERWEIS ASSET MANAGEMENT INC

n/a

Asset manager

$5.1B

n/a

OBERWEIS PUBLISHING COMPANY, LLC

n/a

yes

n/a

OBERWEIS SECURITIES, INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Apr 1, 2013

$121M

n/a

2011

Mar 30, 2012

$120M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$121M

$120M

0.4%

n/a