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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED

CRD 169689

HONG KONG

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Search this name across graphsid dfx:ria:d08752fd-0736-518c-63b5-94c9e22e032d

Data as of Jan 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 57
Dated events: 1
On other graphs: 0
Observed: Dec 23, 2013 to Jan 26, 2017
13 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 43
Advisory employees: 3
SEC number: 801-79020
CRD: 169689
Filings on the tape: 13
First filed: Dec 23, 2013
Latest filed: Jan 26, 2017
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
BNY MELLON INVESTMENT MANAGEMENT (APAC) HOLDINGS LIMITED	SOLE SHAREHOLDER	E	yes	12/2007	Mar 31, 2014	Jan 26, 2017
BNY MELLON INVESTMENT MANAGEMENT APAC LP	SOLE SHAREHOLDER	E	yes	12/2014	Dec 23, 2013	Jan 26, 2017
CHAN, NGAR KAY EMILY	HEAD OF RISK & COMPLIANCE INVESTMENT MANAGEMENT ASIA PACIFIC AND DIRECTOR	Na	yes	12/2015	Jan 26, 2016	Jan 26, 2017
CHO, SAMMI, HYUN	Director	Na	yes	10/2012	Dec 23, 2013	Jan 26, 2017
LUNG, PHILIP, EDWIN	DIVISION HEAD AND DIRECTOR	Na	yes	05/2015	Jul 30, 2015	Jan 26, 2017
MBC INVESTMENTS CORPORATION	Shareholder	E	yes	06/2013	Dec 23, 2013	Jan 26, 2017
SHAMSUDDIN, DONI	CEO HONG KONG, CO-HEAD OF APAC AND DIRECTOR	Na	yes	01/2016	Dec 23, 2013	Jan 26, 2017
THE BANK OF NEW YORK MELLON CORPORATION	SOLE SHAREHOLDER	E	yes	07/2007	Dec 23, 2013	Jan 26, 2017
Wright, Lindsay, Megan	CO-HEAD OF IM APAC AND DIRECTOR	Na	yes	09/2016	Oct 28, 2016	Jan 26, 2017
ZHANG, XUAN	HEAD OF INSTITUTIONAL DISTRIBUTION, GREATER CHINA & SOUTHEAST ASIA AND DIRECTOR	Na	yes	12/2015	Jan 26, 2016	Jan 26, 2017
Luk, Man Fung	CHIEF COMPLIANCE OFFICER	Na	no	07/2016	Jul 25, 2016	Jan 26, 2017
ng, Jacqueline Pun Lam	CHIEF LEGAL OFFICER	Na	no	02/2016	Mar 30, 2016	Jan 26, 2017

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 78

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MELLON CAPITAL MANAGEMENT CORPORATION	n/a	Asset manager	$874B	N	yes	n/a
THE DREYFUS CORPORATION	n/a	Asset manager	$419B	N	yes	n/a
INSIGHT NORTH AMERICA LLC	n/a	Other adviser	$171B	N	yes	n/a
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC	n/a	Former SEC adviser	$130B	N	yes	n/a
WALTER SCOTT & PARTNERS LIMITED	n/a	Other adviser	$67B	N	yes	n/a
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD	n/a	Asset manager	$42B	N	yes	n/a
LOCKWOOD ADVISORS INC	n/a	Bank affiliated wealth	$33B	N	yes	n/a
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED	n/a	Former SEC adviser	$32B	N	yes	n/a
ALCENTRA LIMITED	n/a	Asset manager	$23B	N	yes	n/a
THE BOSTON COMPANY ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$20B	N	yes	n/a
CUTWATER INVESTOR SERVICES CORP.	n/a	Former SEC adviser	$15B	N	yes	n/a
ALCENTRA NY, LLC	n/a	Asset manager	$14B	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD	n/a	Former SEC adviser	$10B	N	yes	n/a
MBSC SECURITIES CORPORATION	n/a	Other adviser	$8.4B	N	yes	n/a
CENTERSQUARE INVESTMENT MANAGEMENT, INC.	n/a	Former SEC adviser	$7.9B	N	yes	n/a
HEDGEMARK ADVISORS, LLC	n/a	Former SEC adviser	$7.1B	N	yes	n/a
PARETO INVESTMENT MANAGEMENT LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
ARX INVESTIMENTOS LTDA	n/a	Former SEC adviser	$1.9B	N	yes	n/a
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC	n/a	Former SEC adviser	$853M	N	yes	n/a
EACM ADVISORS LLC	n/a	Former SEC adviser	$617M	N	yes	n/a
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.	n/a	Former SEC adviser	$577M	N	yes	n/a
AMHERST CAPITAL MANAGEMENT LLC	n/a	Asset manager	$545M	N	yes	n/a
CUTWATER ASSET MANAGEMENT CORP.	n/a	Former SEC adviser	$423M	N	yes	n/a
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED	n/a	Former SEC adviser	$232M	N	yes	n/a
STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED	n/a	Former SEC adviser	$80.0M	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED	n/a	Former SEC adviser	$78.5M	N	yes	n/a
MELLON HEDGE ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
BNY MELLON ADMINISTRACAO DE ATIVOS LTDA.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ALOCACAO DE PATRIMONIO LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT CANADA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON BANCO S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON BANCO S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a
BNY MELLON FUND MANAGERS LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON GLOBAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON IM KOREA LIMITED	n/a	n/a	n/a	Y	yes	n/a
BNY MELLON INTERNATIONAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED	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
2015	Mar 30, 2016	n/a	n/a	43	3	n/a	n/a	n/a
2014	Mar 31, 2015	$18.6M	$18.6M	65	7	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
2015	n/a	$18.6M	n/a	n/a	n/a	43	65	n/a	n/a

Relationships

Affiliated with (45)

← BNY MELLON SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← MELLON HEDGE ADVISORSRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
← INSIGHT INVESTMENTRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← EACM ADVISORS LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← STANDISHRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
→ THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON INVESTMENT ADVISER, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ STANDISHRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ EACM ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON HEDGE ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, common control
factForm ADV
→ HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON INVESTMENTS (UK) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
and 15 more

Controls (10)

← SHAMSUDDIN, DONIOwnerCEO HONG KONG, CO-HEAD OF APAC AND DIRECTOR, ownership code NA, individual
Dec 23, 2013 to presentfactForm ADV
← CHO, SAMMI, HYUNOwnerDIRECTOR, ownership code NA, individual
Dec 23, 2013 to presentfactForm ADV
← LUNG, PHILIP, EDWINOwnerDIVISION HEAD AND DIRECTOR, ownership code NA, individual
Jul 30, 2015 to presentfactForm ADV
← ZHANG, XUANOwnerHEAD OF INSTITUTIONAL DISTRIBUTION, GREATER CHINA & SOUTHEAST ASIA AND DIRECTOR, ownership code NA, individual
Jan 26, 2016 to presentfactForm ADV
← CHAN, NGAR KAY EMILYOwnerHEAD OF RISK & COMPLIANCE INVESTMENT MANAGEMENT ASIA PACIFIC AND DIRECTOR, ownership code NA, individual
Jan 26, 2016 to presentfactForm ADV
← Wright, Lindsay, MeganOwnerCO-HEAD OF IM APAC AND DIRECTOR, ownership code NA, individual
Oct 28, 2016 to presentfactForm ADV
← BNY MELLON INVESTMENT MANAGEMENT (APAC) HOLDINGS LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Mar 31, 2014 to presentfactForm ADV
← BNY MELLON INVESTMENT MANAGEMENT APAC LPOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Dec 23, 2013 to presentfactForm ADV
← MBC INVESTMENTS CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 23, 2013 to presentfactForm ADV
← THE BANK OF NEW YORK MELLON CORPORATIONOwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Dec 23, 2013 to presentfactForm ADV

Owns (2)

← ng, Jacqueline Pun LamOwnerCHIEF LEGAL OFFICER, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← Luk, Man FungOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 25, 2016 to presentfactForm ADV

Dated events

Occurred
Dec 23, 2013
First Form ADV filing
Bny Mellon Investment Management Hong Kong Limited filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d08752fd-0736-518c-63b5-94c9e22e032d
First observed: Dec 23, 2013
Last observed: Jan 26, 2017 117 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.

BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED

CRD 169689

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:d08752fd-0736-518c-63b5-94c9e22e032d

Data as of Jan 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BNY MELLON INVESTMENT MANAGEMENT (APAC) HOLDINGS LIMITED

SOLE SHAREHOLDER

yes

12/2007

Mar 31, 2014

Jan 26, 2017

BNY MELLON INVESTMENT MANAGEMENT APAC LP

SOLE SHAREHOLDER

yes

12/2014

Dec 23, 2013

Jan 26, 2017

CHAN, NGAR KAY EMILY

HEAD OF RISK & COMPLIANCE INVESTMENT MANAGEMENT ASIA PACIFIC AND DIRECTOR

yes

12/2015

Jan 26, 2016

Jan 26, 2017

CHO, SAMMI, HYUN

Director

yes

10/2012

Dec 23, 2013

Jan 26, 2017

LUNG, PHILIP, EDWIN

DIVISION HEAD AND DIRECTOR

yes

05/2015

Jul 30, 2015

Jan 26, 2017

MBC INVESTMENTS CORPORATION

Shareholder

yes

06/2013

Dec 23, 2013

Jan 26, 2017

SHAMSUDDIN, DONI

CEO HONG KONG, CO-HEAD OF APAC AND DIRECTOR

yes

01/2016

Dec 23, 2013

Jan 26, 2017

THE BANK OF NEW YORK MELLON CORPORATION

SOLE SHAREHOLDER

yes

07/2007

Dec 23, 2013

Jan 26, 2017

Wright, Lindsay, Megan

CO-HEAD OF IM APAC AND DIRECTOR

yes

09/2016

Oct 28, 2016

Jan 26, 2017

ZHANG, XUAN

HEAD OF INSTITUTIONAL DISTRIBUTION, GREATER CHINA & SOUTHEAST ASIA AND DIRECTOR

yes

12/2015

Jan 26, 2016

Jan 26, 2017

Luk, Man Fung

CHIEF COMPLIANCE OFFICER

07/2016

Jul 25, 2016

Jan 26, 2017

ng, Jacqueline Pun Lam

CHIEF LEGAL OFFICER

02/2016

Mar 30, 2016

Jan 26, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MELLON CAPITAL MANAGEMENT CORPORATION

n/a

Asset manager

$874B

yes

n/a

THE DREYFUS CORPORATION

n/a

Asset manager

$419B

yes

n/a

INSIGHT NORTH AMERICA LLC

n/a

Other adviser

$171B

yes

n/a

STANDISH MELLON ASSET MANAGEMENT COMPANY LLC

n/a

Former SEC adviser

$130B

yes

n/a

WALTER SCOTT & PARTNERS LIMITED

n/a

Other adviser

$67B

yes

n/a

NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD

n/a

Asset manager

$42B

yes

n/a

LOCKWOOD ADVISORS INC

n/a

Bank affiliated wealth

$33B

yes

n/a

BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

n/a

Former SEC adviser

$32B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

THE BOSTON COMPANY ASSET MANAGEMENT LLC

n/a

Former SEC adviser

$20B

yes

n/a

CUTWATER INVESTOR SERVICES CORP.

n/a

Former SEC adviser

$15B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD

n/a

Former SEC adviser

$10B

yes

n/a

MBSC SECURITIES CORPORATION

n/a

Other adviser

$8.4B

yes

n/a

CENTERSQUARE INVESTMENT MANAGEMENT, INC.

n/a

Former SEC adviser

$7.9B

yes

n/a

HEDGEMARK ADVISORS, LLC

n/a

Former SEC adviser

$7.1B

yes

n/a

PARETO INVESTMENT MANAGEMENT LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

ARX INVESTIMENTOS LTDA

n/a

Former SEC adviser

$1.9B

yes

n/a

BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC

n/a

Former SEC adviser

$853M

yes

n/a

EACM ADVISORS LLC

n/a

Former SEC adviser

$617M

yes

n/a

CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.

n/a

Former SEC adviser

$577M

yes

n/a

AMHERST CAPITAL MANAGEMENT LLC

n/a

Asset manager

$545M

yes

n/a

CUTWATER ASSET MANAGEMENT CORP.

n/a

Former SEC adviser

$423M

yes

n/a

STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED

n/a

Former SEC adviser

$232M

yes

n/a

STANDISH MELLON ASSET MANAGEMENT (SINGAPORE) PTE. LIMITED

n/a

Former SEC adviser

$80.0M

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED

n/a

Former SEC adviser

$78.5M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

BNY MELLON ADMINISTRACAO DE ATIVOS LTDA.

n/a

yes

n/a

BNY MELLON ALOCACAO DE PATRIMONIO LTDA

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT CANADA LIMITED

n/a

yes

n/a

BNY MELLON BANCO S.A.

n/a

yes

n/a

BNY MELLON BANCO S.A.

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS EMEA LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS, LLC

n/a

yes

n/a

BNY MELLON FUND MANAGERS LIMITED

n/a

yes

n/a

BNY MELLON GLOBAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON IM KOREA LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

n/a

2014

Mar 31, 2015

$18.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

n/a

$18.6M

n/a