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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

CICC INVESTMENT MANAGEMENT (USA), INC.

CRD 168014

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:df5517fe-4249-6d95-e809-f7aa15adb219

Data as of Apr 3, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 1
On other graphs: 0
Observed: Jan 13, 2015 to Apr 3, 2015
3 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: $41.0MItem 5.F on the latest filing (2015-04-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $41.0M
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: 3
Accounts: 1
Private funds: 1Schedule D 7.B(1)
Private fund GAV: $41.0Mgross asset value as reported per fund; never fund size
Custody, client assets: $41.0M
SEC number: 801-80874
CRD: 168014
Filings on the tape: 3
First filed: Jan 13, 2015
Latest filed: Apr 3, 2015
Organised: Corporation, Delaware

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
CICC BRIDGE MATRIX CORE FUND LTD.	Hedge Fund	$41.0M	Apr 3, 2015	2	May 31, 2013	reported	n/a

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
CHINA INTERNATIONAL CAPITAL CORPORATION (HONG KONG) LIMITED	SOLE SHAREHOLDER	E	yes	11/2010	Jan 13, 2015	Apr 3, 2015
CHINA INTERNATIONAL CAPITAL CORPORATION (USA) HOLDINGS, INC.	SOLE SHAREHOLDER	E	yes	11/2010	Jan 13, 2015	Apr 3, 2015
CHINA INTERNATIONAL CAPITAL CORPORATION LIMITED	SOLE SHAREHOLDER	E	yes	11/2010	Jan 13, 2015	Apr 3, 2015
HWANG, ERIC, PAUL	CHIEF COMPLIANCE OFFICER	Na	yes	11/2014	Jan 13, 2015	Apr 3, 2015
TIAN, MAOLI	President	Na	yes	11/2010	Jan 13, 2015	Apr 3, 2015
CENTRAL HUIJIN INVESTMENT LIMITED	Shareholder	C	no	11/2010	Jan 13, 2015	Apr 3, 2015
CHINA INVESTMENT CORPORATION	Shareholder	C	no	11/2010	Jan 13, 2015	Apr 3, 2015

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
CICC INVESTMENT ADVISORY COMPANY LIMITED	n/a	n/a	n/a	N	yes	n/a
CICC US SECURITIES, INC.	n/a	n/a	n/a	N	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
Beijing	n/a	China	n/a	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
2014	Mar 25, 2015	$41.0M	$41.0M	6	3	n/a	1	$41.0M

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
2014	$41.0M	n/a	n/a	n/a	n/a	6	n/a	n/a	n/a

Relationships

Affiliated with (1)

← CICC ALPHA INVESTMENT MANAGEMENT (USA), LLCRegistered adviserother investment adviser, common control
factForm ADV

Advises (1)

→ CICC BRIDGE MATRIX CORE FUND LTD.Private fundHedge Fund, IA
May 31, 2013 to presentfactForm ADV

Controls (4)

← TIAN, MAOLIOwnerPRESIDENT, ownership code NA, individual
Jan 13, 2015 to presentfactForm ADV
← HWANG, ERIC, PAULOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 13, 2015 to presentfactForm ADV
← CHINA INTERNATIONAL CAPITAL CORPORATION (HONG KONG) LIMITEDOwnerSOLE SHAREHOLDER, ownership code E, foreign entity
Jan 13, 2015 to presentfactForm ADV
← CHINA INTERNATIONAL CAPITAL CORPORATION (USA) HOLDINGS, INC.OwnerSOLE SHAREHOLDER, ownership code E, domestic entity
Jan 13, 2015 to presentfactForm ADV

Owns (2)

← CENTRAL HUIJIN INVESTMENT LIMITEDOwnerSHAREHOLDER, ownership code C, foreign entity
Jan 13, 2015 to presentfactForm ADV
← CHINA INVESTMENT CORPORATIONOwnerSHAREHOLDER, ownership code C, foreign entity
Jan 13, 2015 to presentfactForm ADV

Dated events

Occurred
Jan 13, 2015
First Form ADV filing
Cicc Investment Management (Usa), Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:df5517fe-4249-6d95-e809-f7aa15adb219
First observed: Jan 13, 2015
Last observed: Apr 3, 2015 139 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.

CICC INVESTMENT MANAGEMENT (USA), INC.

CRD 168014

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:df5517fe-4249-6d95-e809-f7aa15adb219

Data as of Apr 3, 2015 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CICC BRIDGE MATRIX CORE FUND LTD.

Hedge Fund

$41.0M

Apr 3, 2015

May 31, 2013

reported

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHINA INTERNATIONAL CAPITAL CORPORATION (HONG KONG) LIMITED

SOLE SHAREHOLDER

yes

11/2010

Jan 13, 2015

Apr 3, 2015

CHINA INTERNATIONAL CAPITAL CORPORATION (USA) HOLDINGS, INC.

SOLE SHAREHOLDER

yes

11/2010

Jan 13, 2015

Apr 3, 2015

CHINA INTERNATIONAL CAPITAL CORPORATION LIMITED

SOLE SHAREHOLDER

yes

11/2010

Jan 13, 2015

Apr 3, 2015

HWANG, ERIC, PAUL

CHIEF COMPLIANCE OFFICER

yes

11/2014

Jan 13, 2015

Apr 3, 2015

TIAN, MAOLI

President

yes

11/2010

Jan 13, 2015

Apr 3, 2015

CENTRAL HUIJIN INVESTMENT LIMITED

Shareholder

11/2010

Jan 13, 2015

Apr 3, 2015

CHINA INVESTMENT CORPORATION

Shareholder

11/2010

Jan 13, 2015

Apr 3, 2015

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CICC INVESTMENT ADVISORY COMPANY LIMITED

n/a

yes

n/a

CICC US SECURITIES, INC.

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Beijing

n/a

China

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Mar 25, 2015

$41.0M

n/a

$41.0M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$41.0M

n/a