Cicc Investment Management (Usa), Inc. (New York)

Cicc Investment Management (Usa), Inc. is a mid-sized advisory firm based in New York. It manages $41 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2015 and has operated in the jurisdiction of New York.

Cicc 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 Investment Management (Usa): assets under management

The assets under management (AUM) of Cicc Investment Management (Usa), Inc. is $41 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 0% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $41 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $41 million each.

Cicc Investment Management (Usa) has custody of $41 million in cash and securities for 1 client in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Cicc Investment Management (Usa), Inc. 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.

Careers at Cicc Investment Management (Usa), Inc.

Maoli Tian has been acting as President since 1 Nov 2010. Eric Paul Hwang joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. China International Capital Corporation (Usa) Holdings	Sole shareholder	1 Nov 2010	75% - 100%	80-0641152
Maoli Tian	President	1 Nov 2010	Other	2794415
Eric Paul Hwang	Chief compliance officer	1 Nov 2014	Other	4970741
Eric Paul Hwang	Chief compliance officer	1 Nov 2017	Other	4970741

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
China International Capital Corporation (Hong Kong) Limited	Sole shareholder	1 Nov 2010	75% - 100%	none
China International Capital Corporation Limited	Sole shareholder	1 Nov 2010	75% - 100%	none
Central Huijin Investment Limited	Shareholder	1 Nov 2010	25% - 50%	none
China Investment Corporation	Shareholder	1 Nov 2010	25% - 50%	none

Based in New York

The principal office where Cicc Investment Management (Usa), Inc. 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 646-794-8778. The normal business hours are 9:00am-6:00pm on Monday - Friday.