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

Bny Mellon Investment Management Hong Kong Limited

Former SEC-registered adviserHong Kong, CRD 169689SEC 801-79020IAPD
Latest filing Jan 26, 2017
First filing on the tape Dec 23, 2013 · 13 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
43
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM: $18.6M
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 31, 20150 then
Employees (5.A)43 as of Mar 30, 2016
Mar 31, 201565 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 26, 2017; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Ngar Kay Emily Chan · Head Of Risk & Compliance Investment Management Asia Pacific And Directorcontrol
        since 12/2015 · owns less than 5%
      • Hyun Sammi Cho · Directorcontrol
        since 10/2012 · owns less than 5%
      • Edwin Philip Lung · Division Head And Directorcontrol
        since 05/2015 · owns less than 5%
      • Doni Shamsuddin · Ceo Hong Kong, Co-Head Of Apac And Directorcontrol
        since 01/2016 · owns less than 5%
      • Megan Lindsay Wright · Co-Head Of Im Apac And Directorcontrol
        since 09/2016 · owns less than 5%
      • Xuan Zhang · Head Of Institutional Distribution, Greater China & Southeast Asia And Directorcontrol
        since 12/2015 · owns less than 5%
      • Man Fung Luk · Chief Compliance Officer
        since 07/2016 · owns less than 5%
      • Jacqueline Pun Lam Ng · Chief Legal Officer
        since 02/2016 · owns less than 5%
      Entity owners
      • Bny Mellon Investment Management (Apac) Holdings Limited · Sole Shareholder
        direct · owns 75% or more
      • Bny Mellon Investment Management Apac LP · Sole Shareholder
        indirect · owns 75% or more of Bny Mellon Investment Management (Apac) Holdings Limited
      • Mbc Investments Corporation · Shareholder
        indirect · owns 75% or more of Bny Mellon Investment Management Apac LP
      • The Bank Of New York Mellon Corporation · Sole Shareholder
        indirect · owns 75% or more of Mbc Investments Corporation · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners Limited
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserbankpooled vehicle sponsornRAUM $14B
      • Amherst Capital Management LLC
        investment adviserbanknRAUM $545M
      • Arx Investimentos Ltda
        investment adviserbanknRAUM $1.9B
      • Bny Mellon Investor Solutions, LLC
        investment advisernRAUM $853M
      • Bny Mellon Administracao De Ativos Ltda.
        investment advisern
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Japan Limited
        investment advisernRAUM $32B
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Im Korea Limited
        investment advisery
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Cayman Ltd
        investment adviserpooled vehicle sponsornRAUM $10B
      • Bny Mellon Investment Management Emea Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Singapore Pte. Limited
        investment advisernRAUM $78.5M
      • Bny Mellon Managed Investments Limited
        investment advisern
      • Bny Mellon National Association
        investment advisern
      • Bny Mellon Servicos Financerios Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company (Ireland) Limited
        n
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Centersquare Investment Management Holdings, Inc.
        investment adviserpooled vehicle sponsornRAUM $577M
      • Centersquare Investment Management, Inc.
        investment adviserpooled vehicle sponsornRAUM $7.9B
      Advisers that list Bny Mellon Investment Management Hong Kong Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Jan 26, 2016 to Mar 30, 2016
      • Advisory employees · 7 to 3
        Jan 26, 2016 to Mar 30, 2016
      • Employees · 65 to 43
        Jan 26, 2016 to Mar 30, 2016
      • Discretionary RAUM · 18572633.0 to unset
        Jan 26, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Jan 26, 2016 to Mar 30, 2016
      • RAUM · 18572633.0 to unset
        Jan 26, 2016 to Mar 30, 2016
      • Accounts · unset to 1.0
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 7
        Mar 31, 2014 to Mar 31, 2015
      • Advisory activities · 3 to 4
        Mar 31, 2014 to Mar 31, 2015
      • Employees · 68 to 65
        Mar 31, 2014 to Mar 31, 2015
      • Discretionary RAUM · unset to 18572633.0
        Mar 31, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · unset to 0.0
        Mar 31, 2014 to Mar 31, 2015
      • RAUM · unset to 18572633.0
        Mar 31, 2014 to Mar 31, 2015
      Signals
      1 dated events
      • Bny Mellon Investment Management Hong Kong Limited filed its initial SEC registration (Form ADV)
        Dec 23, 2013 · First SEC registration · fact
      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