Cicc ALPha Investment Management (Usa), LLC (New York)

Cicc ALPha Investment Management (Usa), LLC is a large advisory firm based in New York. It manages $150 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdiction of New York.

Cicc ALPha Investment Management (Usa) provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Cicc ALPha Investment Management (Usa): assets under management

The assets under management (AUM) of Cicc ALPha Investment Management (Usa), LLC is $150 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 150% since the beginning of its operation, and $150 million of the total AUM is attributable to clients outside of the United States.

The firm manages $150 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $150 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cicc ALPha Investment Management (Usa), LLC for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Cicc ALPha Investment Management (Usa) serves?

The only and largest group of clients of Cicc ALPha Investment Management (Usa) is pooled investment vehicles with 1 clients and $150 million of assets under management. Among the 10 most similar advisory firms, Cicc ALPha Investment Management (Usa) has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $150 million for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Cicc ALPha Investment Management (Usa) also advises several private funds. Namely, one private equity fund. The minimum investment commitment required of non-related persons is $10,000,000 for each fund.

Careers at Cicc ALPha Investment Management (Usa), LLC

The company employs 3 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Cicc Alpha Investment Management Holding Limited (Cayman)	100% owner - managing member	1 Jun 2017	75% - 100%	foreign
Lei Huang	Chief compliance officer	1 Aug 2017	Other	5248191
Lanlan Zhang	Managing director	1 Sep 2017	Other	5466882
Tong Li	Chief compliance officer	1 Jul 2018	Other	6984505

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
China Investment Corporation	100 % shareholder / owner	1 Jan 2008	75% - 100%	foreign
Central Huijin Investment Limited	28.45% shareholder	1 Aug 2010	50% - 75%	foreign
Cicc Active Global Investments Holding Limited (Cayman)	50% shareholder	1 May 2015	50% - 75%	foreign
China International Capital Corporation (Hong Kong) Limited	100 % shareholder / owner	1 May 2015	75% - 100%	foreign
China International Capital Corporation Limited (China . Beijing)	100% shareholder / owner	1 May 2015	Other	foreign
Yin Nmn Xiaobin	90% shareholder	1 May 2015	75% - 100%	6769368
Cicc Alpha Investment Group Limited (Cayman)	100% shareholder	1 May 2015	75% - 100%	foreign
Alpha Investment Group Holding Limited (Cayman)	50% shareholder	1 Jun 2017	50% - 75%	foreign

Based in New York

The principal office where Cicc ALPha Investment Management (Usa), LLC performs its advisory services is located at 350 Park Avenue, New York, NY 10022, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 646-794-8800 or by fax 646-794-8804. The normal business hours are 9-5 on Monday - Friday.