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.
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SEC-registered adviser
H•••••• G••••• I••••••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Nov 28, 2011 · 69 filings
SEC status approved since Jun 22, 2011
RAUM
$3.8B
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
32
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$3.8B as of Mar 30, 2026
Apr 2, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)32 as of Mar 30, 2026
Mar 27, 201338 then
Private funds: no history
RAUM -11% over the last fiscal year-0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• 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
- $146MderivedRAUM 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
- -11%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 vehicles, portfolio management for investment companiesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1.8B48%
- Corporations and businesses$1.2B32%
- Other investment advisers$476M13%
- Pooled investment vehicles$275M7.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.68 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• T••••• · Director/Ceo/Cio/Responsible Officercontrolsince 02/2024 · owns less than 5%
- J•••• L•• · Chairman & Directorcontrolsince 08/2021 · owns less than 5%
- L•• L•••••• · Directorcontrolsince 07/2018 · owns less than 5%
- G••• S••• · Directorsince 05/2021 · owns less than 5%
- J••••• Y••••• · Responsible Officersince 06/2010 · owns less than 5%
- S••• C•••••• K•••• · Responsible Officersince 10/2020 · owns less than 5%
- T•••• C•••• F•••• D•••• · Chief Compliance Officersince 05/2011 · owns less than 5%
Entity owners
- H•••••• F•••••••• G•••• L•••••• · Shareholderdirect · owns 75% or more
- C•••• C••••• T•••• C••• L•• · Shareholderindirect · owns 25% to 50% of H•••••• F••• M••••••••• C••• L••
- D• B••••••••• G••• · Shareholderindirect · owns 75% or more of D•• G•••• G••• • C•• K•••
- D••••••• B••• A• · Shareholderindirect · owns 75% or more of D• B••••••••• G••• · public reporting company
- D•• G•••• G••• • C•• K••• · Shareholderindirect · owns 75% or more of D•• I••••••••• S•••••••• L••••••
- D•• I••••••••• S•••••••• L•••••• · Shareholderindirect · owns 25% to 50% of H•••••• F••• M••••••••• C••• L••
- H•••••• F••• M••••••••• C••• L•• · Shareholderindirect · owns 75% or more of H•••••• F•••••••• G•••• L••••••
- L•••• I••••••••• C••• L•• · Shareholderindirect · owns 25% to 50% of H•••••• F••• M••••••••• C••• L••
- S••••••• S•• H••• E••••••••• M••••••••• C••• L•• · Shareholderindirect · owns 75% or more of T••• Y••• H•••••• C••• L••
- T•• P••••••• I•••••••• C•••••• •••••• O• C•••• · Shareholderindirect · owns 25% to 50% of C•••• C••••• T•••• C••• L••
- T••• Y••• H•••••• C••• L•• · Shareholderindirect · owns 50% to 75% of L•••• I••••••••• C••• L••
Related persons
Schedule D 7.A
- H•••••• C•••••• M••••••••• C••• L••investment advisern
- H•••••• F••• M••••••••• C••• L••investment advisery
- H•••••• W••••• M••••••••• C••• L••investment advisern
- H•• •••• I••••••••• L••broker-dealery
Advisers that list H•••••• G••••• I••••••••• L•••••• as a related person
- 141392 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 29.0% to 45.0% between the annual amendments of 2025-03-28 and 2026-03-30peers: asset managers, $1B to $5B (1,506)
What changed
consecutive filings, newest first
- Accounts · 23 to 26Jan 19, 2026 to Mar 30, 2026
- Advisory employees · 10 to 18Jan 19, 2026 to Mar 30, 2026
- Corporate clients · 6 to 8Jan 19, 2026 to Mar 30, 2026
- Pooled vehicle clients · 8 to 10Jan 19, 2026 to Mar 30, 2026
- Employees · 29 to 32Jan 19, 2026 to Mar 30, 2026
- Discretionary RAUM · $4.2B to $3.8BJan 19, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $151M to $275MJan 19, 2026 to Mar 30, 2026
- RAUM · $4.2B to $3.8BJan 19, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 2, 2025
- Accounts · 28 to 23Dec 23, 2024 to Mar 28, 2025
- Advisory employees · 15 to 10Dec 23, 2024 to Mar 28, 2025
- Advisory activities · 2 to 3Dec 23, 2024 to Mar 28, 2025
- Corporate clients · 7 to 6Dec 23, 2024 to Mar 28, 2025
- Pooled vehicle clients · 11 to 8Dec 23, 2024 to Mar 28, 2025
- Employees · 33 to 29Dec 23, 2024 to Mar 28, 2025
- HQ state · unset to Dec 23, 2024 to Mar 28, 2025
- Discretionary RAUM · $3.5B to $4.2BDec 23, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $163M to $151MDec 23, 2024 to Mar 28, 2025
- RAUM · $3.5B to $4.2BDec 23, 2024 to Mar 28, 2025
- Advisory employees · 22 to 15Feb 7, 2024 to Mar 27, 2024
- Corporate clients · 4 to 7Feb 7, 2024 to Mar 27, 2024
- Pooled vehicle clients · 13 to 11Feb 7, 2024 to Mar 27, 2024
- Employees · 53 to 33Feb 7, 2024 to Mar 27, 2024
- Discretionary RAUM · $3.8B to $3.5BFeb 7, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · $191M to $163MFeb 7, 2024 to Mar 27, 2024
- RAUM · $3.8B to $3.5BFeb 7, 2024 to Mar 27, 2024
- Accounts · 29 to 28Nov 21, 2022 to Mar 31, 2023
- Advisory employees · 23 to 22Nov 21, 2022 to Mar 31, 2023
- Advisory activities · 3 to 2Nov 21, 2022 to Mar 31, 2023
- Corporate clients · 3 to 4Nov 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 14 to 13Nov 21, 2022 to Mar 31, 2023
- Employees · 52 to 53Nov 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $4.8B to $3.8BNov 21, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $4.7M to $0Nov 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $418M to $191MNov 21, 2022 to Mar 31, 2023
- RAUM · $4.8B to $3.8BNov 21, 2022 to Mar 31, 2023
- Related bank · true to falseNov 21, 2022 to Mar 31, 2023
- Accounts · 32 to 29Jan 11, 2022 to Mar 30, 2022
- Advisory employees · 30 to 23Jan 11, 2022 to Mar 30, 2022
- Corporate clients · 4 to 3Jan 11, 2022 to Mar 30, 2022
Signals
12 dated events
- Kang Gong (Director) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2024-08-14, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- Xue Jun Zhao (Director) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2024-08-14, absent 2024-12-23)Dec 23, 2024 · Control person left · inference
- Tongli Han (Director/Ceo/Cio/Responsible Officer) appeared on Schedule A of H•••••• G••••• I••••••••• L••••••Feb 7, 2024 · Control person joined · fact
- Chi Wang Kwan (Director, Chief Investment Officer, Chief Executive Officer & Responsible Officer) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2023-10-18, absent 2024-01-08)Jan 8, 2024 · Control person left · inference
- Kang Gong (Director) appeared on Schedule A of H•••••• G••••• I••••••••• L••••••May 25, 2022 · Control person joined · fact
- Lingfei Lu (Director) appeared on Schedule A of H•••••• G••••• I••••••••• L••••••Jul 28, 2021 · Control person joined · fact
- Gang Teng (Director) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2020-11-20, absent 2021-01-04)Jan 4, 2021 · Control person left · inference
- Wei Wang (Director) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2020-07-17, absent 2020-09-22)Sep 22, 2020 · Control person left · inference
- Chen Sun (Director, Responsible Officer & Chief Executive Officer) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2019-08-28, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Gang Teng (Director) appeared on Schedule A of H•••••• G••••• I••••••••• L••••••Aug 28, 2019 · Control person joined · fact
- Ming Li (Director) no longer on Schedule A of H•••••• G••••• I••••••••• L•••••• (listed 2019-03-28, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
- Lingfei Lu (Director) appeared on Schedule A of H•••••• G••••• I••••••••• L••••••Mar 28, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/harvest-global-investments-limited/mycoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••••GLOBALINVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 852 3913 3333reportedpublic record, Form ADV, Mar 30, 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