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.

Former SEC-registered adviser

Hsbc Global Asset Management (Singapore) Limited

Former SEC-registered adviserSingapore, CRD 144324SEC 801-68275IAPD
Latest filing Aug 21, 2013
First filing on the tape Nov 9, 2011 · 14 filings
RAUM
$8.0B
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
24
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$3.9B gross assets
History
14 filings and snapshots on the tape
RAUM$8.0B as of Mar 27, 2013
Mar 29, 2012$6.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 24
Private funds: 2
RAUM +33% over the last fiscal year
Practice profile
derived from the filing of Aug 21, 2013; every figure names its basis
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
$210MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+33%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
38reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Hsbc Master India FundHedge Fund$82.8M49Aug 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Paul Martin Arrowsmith · Non-Executive Directorcontrol
        since 11/2011 · owns less than 5%
      • Amit Gupta · Non-Executive Directorcontrol
        since 04/2012 · owns less than 5%
      • Daniel Guy Harvey-Samuel · Non-Executive Directorcontrol
        since 04/2013 · owns less than 5%
      • Saw Cheng Kalen Lim · Chief Executive Officercontrol
        since 07/2013 · owns less than 5%
      • Joanna Mary Munro · Non-Executive Directorcontrol
        since 06/2011 · owns less than 5%
      • Walter Mark De Oude · Non-Executive Directorcontrol
        since 05/2011 · owns less than 5%
      • Suat Lay Ng · Chief Compliance Officer
        since 01/2010 · owns less than 5%
      Entity owners
      • Hsbc Global Asset Management Holdings (Bahamas) Limited · Shareholder
        direct · owns 75% or more
      • Hsbc Asia Holdings (Uk) Limited · Shareholder
        indirect · owns 75% or more of Hsbc Asia Holdings B.V. · public reporting company
      • Hsbc Asia Holdings B.V. · Shareholder
        indirect · owns 75% or more of The Hongkong And Shanghai Banking Corporation Limited · public reporting company
      • Hsbc Finance (Netherlands) · Shareholder
        indirect · owns 75% or more of Hsbc Holdings Bv · public reporting company
      • Hsbc Holdings Bv · Shareholder
        indirect · owns 75% or more of Hsbc Asia Holdings (Uk) Limited · public reporting company
      • Hsbc Holdings Plc · Shareholder
        indirect · owns 75% or more of Hsbc Finance (Netherlands) · public reporting company
      • The Hongkong And Shanghai Banking Corporation Limited · Shareholder
        indirect · owns 75% or more of Hsbc Asset Management (Bahamas) Limited · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Hsbc Global Asset Management (Singapore) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Private funds · 2 to 1
        Jul 9, 2013 to Aug 21, 2013
      • Accounts · 37 to 38
        Aug 24, 2012 to Mar 27, 2013
      • Advisory employees · unset to 6.0
        Aug 24, 2012 to Mar 27, 2013
      • Employees · unset to 24.0
        Aug 24, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Aug 24, 2012 to Mar 27, 2013
      • Discretionary RAUM · $6.0B to $8.0B
        Aug 24, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $24.0M to $26.1M
        Aug 24, 2012 to Mar 27, 2013
      • RAUM · $6.0B to $8.0B
        Aug 24, 2012 to Mar 27, 2013
      • Private funds · 1 to 2
        Aug 17, 2012 to Aug 23, 2012
      • Private funds · unset to 1
        Apr 9, 2012 to Aug 17, 2012
      • Accounts · 218 to 37
        Mar 6, 2012 to Mar 29, 2012
      • Advisory activities · 2 to 3
        Mar 6, 2012 to Mar 29, 2012
      • Discretionary RAUM · $9.4B to $6.0B
        Mar 6, 2012 to Mar 29, 2012
      • Non-discretionary RAUM · $54.6M to $24.0M
        Mar 6, 2012 to Mar 29, 2012
      • RAUM · $9.5B to $6.0B
        Mar 6, 2012 to Mar 29, 2012
      • Related bank · false to true
        Mar 6, 2012 to Mar 29, 2012
      • Related insurance company · true to false
        Mar 6, 2012 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 5, 2011 to Mar 6, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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