Northwest Investment Management (Hong Kong) Limited (Hong Kong)

Name: Northwest Investment Management (Hong Kong) Limited
Address: 11 Th Floor Kinwick Centre, Hong Kong
Telephone: 00852-3657-5600

Northwest Investment Management (Hong Kong) Limited is a large advisory firm based in Hong Kong. It manages $983.63 million of regulatory assets for 5 client accounts. It has been registered with the SEC as an adviser since 2010.

Northwest Investment Management (Hong Kong) Limited 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.

Northwest Investment Management (Hong Kong) Limited: assets under management

The assets under management (AUM) of Northwest Investment Management (Hong Kong) Limited is $983.63 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 82% since the beginning of its operation, and $983.63 million of the total AUM is attributable to clients outside of the United States.

The firm manages $983.63 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $196.73 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Northwest Investment Management (Hong Kong) Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Northwest Investment Management (Hong Kong) Limited serves?

The only and largest group of clients of Northwest Investment Management (Hong Kong) Limited is pooled investment vehicles with 5 clients and $983.63 million of assets under management. Among the 7 most similar advisory firms, Northwest Investment Management (Hong Kong) Limited has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $983.63 million for 5 clients. 100% of the firm’s clients are foreign persons or businesses.

Northwest Investment Management (Hong Kong) Limited also advises several private funds. Namely, four hedge funds. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Northwest Investment Management (Hong Kong) Limited

The company employs 7 people that are either part- or full-time employees. 86 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.

David Ian Rogers has served as the Chief Investment Officer since 1 Apr 2009 and George Andrew Philips is the Chief Executive Officer of Northwest Investment Management (Hong Kong) Limited family office. Ernest Lee Hong Ho joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
David Ian Rogers	Chief investment officer	1 Apr 2009	25% - 50%	2200809
Mark Francis Deacon	Chief compliance officer	1 Apr 2009	Other	5029108
George Andrew Philips	Chief executive officer	1 Oct 2009	50% - 75%	1825733
Ernest Lee Hong Ho	Chief compliance officer	1 Mar 2013	Other	5075120

Based in Hong Kong

The principal office where Northwest Investment Management (Hong Kong) Limited performs its advisory services is located at 11 Th Floor Kinwick Centre, Hong Kong, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 00852-3657-5600 or by fax 00852-3165-1671. The normal business hours are 0800-1700 hk time on Monday - Friday. You can find more information about the New York firm at nimco.co.uk.