# Cicc Alpha Investment Management (USA), LLC

> Cicc Alpha Investment Management (USA), LLC is an SEC-registered investment advisory firm in New York, NY, registered since 2017, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated July 21, 2026.

- CRD: 289848
- Filed as: CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: New York, NY
- Filing period: October 2026
- Form ADV filing dated: July 21, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/289848
- AdvisorCensus page: https://advisorcensus.com/firm/cicc-alpha-investment-management-usa-llc-new-york-ny-289848

## Quick answers

**How is Cicc Alpha Investment Management (USA), LLC compensated?**
On its Form ADV (Item 5.E, October 2026), Cicc Alpha Investment Management (USA), LLC reports these compensation arrangements: a percentage of assets under its management; performance-based fees.

**Where is Cicc Alpha Investment Management (USA), LLC located?**
Cicc Alpha Investment Management (USA), LLC's principal office is in New York, NY, according to its Form ADV.

**Is Cicc Alpha Investment Management (USA), LLC registered with the SEC or a state?**
Cicc Alpha Investment Management (USA), LLC is an SEC-registered investment advisory firm, registered since 2017. Status as filed: Approved. CRD 289848.

**How much does Cicc Alpha Investment Management (USA), LLC manage?**
Cicc Alpha Investment Management (USA), LLC reports $175,080,280 in regulatory assets under management in its Form ADV filing dated July 21, 2026 (100% discretionary).

**How have Cicc Alpha Investment Management (USA), LLC's assets and staff changed since 2021?**
In the Form ADV data for Cicc Alpha Investment Management (USA), LLC: Regulatory assets under management: $123,512,573 in the October 2021 data and $175,080,280 in the October 2026 data, up 42%. Total employees: 2 in October 2021 and 1 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does Cicc Alpha Investment Management (USA), LLC serve?**
By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (1).

**Does Cicc Alpha Investment Management (USA), LLC report any disciplinary disclosures?**
Reports 1 disclosure item on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289848

**Does Cicc Alpha Investment Management (USA), LLC state an account minimum?**
Its Form ADV Part 2A brochure dated March 25, 2026 says: "The minimum investment in the Fund advised by CICC ALPHA is typically $2,000,000, although the Fund may accept investments in a lesser amount."

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management
- Performance-based fees

### Fees and minimums (Form ADV Part 2A brochure dated March 25, 2026)

- Account minimum: $2,000,000

> The minimum investment in the Fund advised by CICC ALPHA is typically $2,000,000, although the Fund may accept investments in a lesser amount.

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Regulatory assets under management (Item 5.F)
- Total: $175,080,280
- Discretionary: $175,080,280
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Pooled investment vehicles (other than investment companies and business development companies) | 1 | $175,080,280 |

### Advisory services (Item 5.G)
- Portfolio management for pooled investment vehicles (other than investment companies)

### Firm details
- Registered since: 2017 (9 years)
- Employees: 1 total, 1 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: NY
- Disclosures (Item 11): Reports 1 disclosure item on Form ADV Item 11.

### Item 11 questions answered yes
- 11.D(2): Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/289848

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $123,512,573 | 2 | March 30, 2021 |
| October 2022 | $125,514,182 | 2 | March 31, 2022 |
| October 2023 | $175,889,807 | 2 | July 21, 2023 |
| October 2024 | $172,667,341 | 1 | May 2, 2024 |
| October 2025 | $177,623,423 | 1 | June 5, 2025 |
| October 2026 | $175,080,280 | 1 | July 21, 2026 |

Regulatory assets under management: $123,512,573 in the October 2021 data and $175,080,280 in the October 2026 data, up 42%.
Total employees: 2 in October 2021 and 1 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Cicc Alpha Investment Management (USA), LLC (CRD 289848): Form ADV filing data as of October 2026.