DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Dws Investments Hong Kong Limited
Latest filing Sep 14, 2026
First filing on the tape Nov 21, 2011 · 107 filings
SEC status approved since Mar 8, 2006
RAUM
$5.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
62
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
107 filings and snapshots on the tape
RAUM$5.1B as of May 29, 2026
Mar 30, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 29, 2026
Mar 30, 20120 then
Employees (5.A)62 as of May 29, 2026
Mar 28, 20139 then
Private funds2 as of Mar 28, 2024
Mar 28, 20181 then
RAUM +112% over the last fiscal year-7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $510MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +112%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.7B92%
- Insurance companies$424M8.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.08 related_bd=true related_bank=true bd_reps=0.0 bank_owner=truederived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| China Renewable Energy Fund L.P. | Private Equity Fund | $287M | 18 | Mar 26, 2019 |
| Clean Energy And Environment Fund LP | Private Equity Fund | $107M | 14 | Mar 28, 2018 |
Owners and control persons
Schedule A and B, latest filing
- Lai Kwan Macy Chan · Director / Chief Financial Officer Apaccontrolsince 02/2024 · owns less than 5%
- Wai Ng Wendy Lok · Director / Chief Operating Officer Hong Kongcontrolsince 08/2021 · owns less than 5%
- John Simon Murfin · Director / Chief Operating Officer Apaccontrolsince 07/2018 · owns less than 5%
- Elke Schoeppl-Jost · Director / Regional Investment Head Apaccontrolsince 08/2014 · owns less than 5%
- Lorraine Lay Hoon Toh · Directorcontrolsince 11/2023 · owns less than 5%
- Vanessa Wang · Director / Head Of Client Coverage, Apac / Head Of Asia Pacificcontrolsince 04/2022 · owns less than 5%
- Jojo Chun Mui Wong · Chief Compliance Officer / Regional Head Of Afc & Compliance Apaccontrolsince 10/2019 · owns less than 5%
- N.Y. Susanna Wong · Regional Head Of Legal Apaccontrolsince 09/2017 · owns less than 5%
Entity owners
- Dws Group Gmbh & Co. Kgaa · Shareholderdirect · owns 75% or more
- Db Beteiligungs-Holding Gmbh · Shareholderindirect · owns 75% or more of Dws Group Gmbh & Co. Kgaa
- Deutsche Bank Ag · Shareholderindirect · owns 75% or more of Db Beteiligungs-Holding Gmbh · public reporting company
Related persons
Schedule D 7.A
- Deutsche Alternative Asset Management (Uk) Limitedinvestment advisern
- Deutsche Bank (China) Co., Ltd., Shanghai Branchcustodiann
- Deutsche Bank (Malaysia) Berhadcustodiann
- Deutsche Bank A.S.custodiann
- Deutsche Bank Agbroker-dealerpooled vehicle sponsorCPO or CTAcustodiany
- Deutsche Bank Ag Amsterdam Branchcustodiann
- Deutsche Bank Ag Bangkok Branchcustodiann
- Deutsche Bank Ag Hungary Branchcustodiann
- Deutsche Bank Ag Jakarta Branchcustodiann
- Deutsche Bank Ag Manila Branchcustodiann
- Deutsche Bank Ag Taipei Branchcustodiann
- Deutsche Bank Ag, Amsterdam Branch (Belgium)custodiann
- Deutsche Bank Ag, Amsterdam Branch (France)custodiann
- Deutsche Bank Ag, Amsterdam Branch (Portugal)custodiann
- Deutsche Bank Ag, Colombo Branchcustodiann
- Deutsche Bank Ag, Frankfurtcustodiann
- Deutsche Bank Ag, Ho Chi Minh City Branchcustodiann
- Deutsche Bank Ag, Hong Kong Branchcustodiann
- Deutsche Bank Ag, Karachi Branchcustodiann
- Deutsche Bank Ag, London Branchcustodiann
- Deutsche Bank Ag, Mumbai Branchcustodiann
- Deutsche Bank Ag, New York Branchcustodiann
- Deutsche Bank Ag, Seoul Branchcustodiann
- Deutsche Bank Ag, Singapore Branchcustodiann
- Deutsche Bank Aktiengesellschaft Filiale Prag, Organizacni Slozkacustodiann
- Deutsche Bank Polska S.A.custodiann
- Deutsche Bank S.A. - Banco Alem?Ocustodiann
- Deutsche Bank S.A.E.custodiann
- Deutsche Bank S.P.A.custodiann
- Deutsche Bank Securities Inc.broker-dealerinvestment advisertrust companyn
Advisers that list Dws Investments Hong Kong Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 20, 2026institutional share of RAUM moved from 24.0% to 8.0% between the annual amendments of 2025-04-30 and 2026-04-20peers: asset managers, $5B to $20B (684)
- RAUM up 50 %Change between filings · filing Apr 20, 2026RAUM (Item 5.F) moved from $2,407,874,328 to $5,103,535,600 (+112.0%) between the annual amendments of 2025-04-30 and 2026-04-20; the peer median change was +13.0% (631 comparable advisers, 97.0th percentile of changes)peers: asset managers, $5B to $20B (631) · 97% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMay 29, 2026 to Sep 14, 2026
- HQ state · to unsetMay 29, 2026 to Sep 14, 2026
- Succession · false to unsetMay 29, 2026 to Sep 14, 2026
- Accounts · 8 to 10Dec 18, 2025 to Mar 30, 2026
- Advisory employees · 16 to 17Dec 18, 2025 to Mar 30, 2026
- Pooled vehicle clients · 7 to 9Dec 18, 2025 to Mar 30, 2026
- Employees · 66 to 62Dec 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $2.4B to $5.1BDec 18, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.8B to $4.7BDec 18, 2025 to Mar 30, 2026
- RAUM · $2.4B to $5.1BDec 18, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 6, 2025 to Jul 11, 2025
- Employees · 71 to 66Jan 14, 2025 to Apr 30, 2025
- Accounts · 9 to 8Jan 14, 2025 to Apr 30, 2025
- Advisory employees · 20 to 16Jan 14, 2025 to Apr 30, 2025
- Pooled vehicle clients · 8 to 7Jan 14, 2025 to Apr 30, 2025
- Discretionary RAUM · $2.8B to $2.4BJan 14, 2025 to Apr 30, 2025
- Non-discretionary RAUM · $148M to $0Jan 14, 2025 to Apr 30, 2025
- Pooled vehicle RAUM · $2.2B to $1.8BJan 14, 2025 to Apr 30, 2025
- RAUM · $3.0B to $2.4BJan 14, 2025 to Apr 30, 2025
- HQ state · unset to Oct 8, 2024 to Jan 14, 2025
- Accounts · 10 to 9Oct 2, 2024 to Oct 8, 2024
- Pooled vehicle clients · 9 to 8Oct 2, 2024 to Oct 8, 2024
- Discretionary RAUM · $3.3B to $2.8BOct 2, 2024 to Oct 8, 2024
- Non-discretionary RAUM · $145M to $148MOct 2, 2024 to Oct 8, 2024
- Pooled vehicle RAUM · $2.6B to $2.2BOct 2, 2024 to Oct 8, 2024
- RAUM · $3.5B to $3.0BOct 2, 2024 to Oct 8, 2024
- Private funds · 2 to unsetAug 5, 2024 to Sep 3, 2024
- Accounts · 16 to 10Mar 7, 2024 to Mar 28, 2024
- Advisory employees · 22 to 20Mar 7, 2024 to Mar 28, 2024
- Advisory activities · 3 to 2Mar 7, 2024 to Mar 28, 2024
- Pooled vehicle clients · 13 to 9Mar 7, 2024 to Mar 28, 2024
- Employees · 79 to 71Mar 7, 2024 to Mar 28, 2024
- Discretionary RAUM · $6.3B to $3.3BMar 7, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $0 to $145MMar 7, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $5.4B to $2.6BMar 7, 2024 to Mar 28, 2024
- RAUM · $6.3B to $3.5BMar 7, 2024 to Mar 28, 2024
- Accounts · 23 to 16Mar 20, 2023 to Mar 31, 2023
- Advisory employees · 19 to 22Mar 20, 2023 to Mar 31, 2023
- Pension plan clients · 1.0 to unsetMar 20, 2023 to Mar 31, 2023
- Pooled vehicle clients · 19 to 13Mar 20, 2023 to Mar 31, 2023
Signals
25 dated events
- Dws Investments Hong Kong Limited reported RAUM $5.1B, up 112% from $2.4B (2025-12-18 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Frederick Peter Andrew Pidden (Director / Global Head Of Investments Sustainable Investments) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2024-08-05, absent 2024-09-03)Sep 3, 2024 · Control person left · inference
- Dws Investments Hong Kong Limited reported RAUM $3.5B, down 46% from $6.3B (2024-03-07 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Lai Kwan Macy Chan (Director / Chief Financial Officer Apac) appeared on Schedule A of Dws Investments Hong Kong LimitedFeb 27, 2024 · Control person joined · fact
- Lorraine Lay Hoon Toh (Director) appeared on Schedule A of Dws Investments Hong Kong LimitedNov 2, 2023 · Control person joined · fact
- Lok Kui Yim (Director) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2023-08-09, absent 2023-10-09)Oct 9, 2023 · Control person left · inference
- Lok Kui Yim (Director) appeared on Schedule A of Dws Investments Hong Kong LimitedMay 25, 2023 · Control person joined · fact
- Holger Naumann (Director) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2023-04-11, absent 2023-05-10)May 10, 2023 · Control person left · inference
- Dws Investments Hong Kong Limited reported RAUM $6.3B, down 25% from $8.5B (2023-03-20 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Wai Kah Chang (Director) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2023-03-20, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Vanessa Wang (Director / Head Of Client Coverage, Apac) appeared on Schedule A of Dws Investments Hong Kong LimitedApr 29, 2022 · Control person joined · fact
- Andy Ho (Director / Regional Head Of Trading Apac) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2021-09-10, absent 2021-09-30)Sep 30, 2021 · Control person left · inference
- Wai Ng Wendy Lok (Chief Operating Officer And Director) appeared on Schedule A of Dws Investments Hong Kong LimitedSep 10, 2021 · Control person joined · fact
- Christopher Leon Williams (Director / Cao Investment Division, Apac) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2021-04-09, absent 2021-05-18)May 18, 2021 · Control person left · inference
- Marco Montanari (Director / Head Of Global Product Management, Apac) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2020-07-17, absent 2020-08-25)Aug 25, 2020 · Control person left · inference
- Holger Naumann (Director / Head Of Dws Apac) appeared on Schedule A of Dws Investments Hong Kong LimitedJun 4, 2020 · Control person joined · fact
- Dws Investments Hong Kong Limited reported RAUM $7.9B, up 63% from $4.9B (2019-12-09 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Jojo Chun Mui Wong (Chief Compliance Officer) appeared on Schedule A of Dws Investments Hong Kong LimitedNov 12, 2019 · Control person joined · fact
- Shuk Man Mandy Chiu (Chief Compliance Officer) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2019-09-10, absent 2019-11-12)Nov 12, 2019 · Control person left · inference
- Dawne Yoke Ling Siau (Chief Compliance Officer) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2019-04-30, absent 2019-07-12)Jul 12, 2019 · Control person left · inference
- Shuk Man Mandy Chiu (Chief Compliance Officer) appeared on Schedule A of Dws Investments Hong Kong LimitedJul 12, 2019 · Control person joined · fact
- Hiiga Hu (Director / Head Of Coverage, Apac Ex-Japan) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2019-03-26, absent 2019-04-30)Apr 30, 2019 · Control person left · inference
- Frederick Peter Andrew Pidden (Director) appeared on Schedule A of Dws Investments Hong Kong LimitedApr 30, 2019 · Control person joined · fact
- Maurice Alexander Prout (Director) no longer on Schedule A of Dws Investments Hong Kong Limited (listed 2018-11-15, absent 2019-01-15)Jan 15, 2019 · Control person left · inference
- Dws Investments Hong Kong Limited reported RAUM $4.4B, up 65% from $2.7B (2018-02-12 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- DWS Investments Hong Kong Limited · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/DWSGROUPreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DWS.COM/EN-HKreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 852-2203-8888reportedpublic record, Form ADV, Sep 14, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026