{
  "crd_number": 139666,
  "slug": "dws-investments-hong-kong-limited-hong-kong-139666",
  "primary_business_name": "DWS INVESTMENTS HONG KONG LIMITED",
  "legal_name": "DWS INVESTMENTS HONG KONG LIMITED",
  "dbas": [],
  "city": "Hong Kong",
  "state": null,
  "country": "China",
  "cbsa_code": null,
  "metro": null,
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2006-03-08",
  "years_registered": 20,
  "period": "2026-10-01",
  "filing_date": "2026-09-14",
  "carried_forward": false,
  "raum_total": 5103535600.0,
  "raum_discretionary": 5103535600.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 62,
  "advisory_employees": 17,
  "client_count_bucket": null,
  "clients_by_type": {
    "insurance_companies": {
      "raum": 423542739.0,
      "count": 2
    },
    "pooled_investment_vehicles": {
      "raum": 4679992861.0,
      "count": 9
    }
  },
  "compensation_types": [
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_pooled_vehicles"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 15,
  "states_registered": [],
  "websites": [
    "https://dws.com/EN-HK",
    "https://dws.com/EN-HK/MICROSITES/DWS-INVEST/PUBLICATIONS",
    "https://etf.dws.com/EN-HK",
    "https://facebook.com/DWS",
    "https://linkedin.com/COMPANY/DWSGROUP",
    "https://youtube.com/C/DWSGROUP"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139666",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "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?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(1)(a)",
      "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "HONG KONG",
  "url": "https://advisorcensus.com/firm/dws-investments-hong-kong-limited-hong-kong-139666",
  "display_name": "DWS Investments Hong Kong Limited",
  "summary": "DWS Investments Hong Kong Limited is an SEC-registered investment advisory firm in Hong Kong, China, registered since 2006, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 14, 2026.",
  "citation": "AdvisorCensus. DWS Investments Hong Kong Limited (CRD 139666): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients"
  ],
  "quick_answers": [
    {
      "q": "How is DWS Investments Hong Kong Limited compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), DWS Investments Hong Kong Limited reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is DWS Investments Hong Kong Limited located?",
      "a": "DWS Investments Hong Kong Limited's principal office is in Hong Kong, China, according to its Form ADV."
    },
    {
      "q": "Is DWS Investments Hong Kong Limited registered with the SEC or a state?",
      "a": "DWS Investments Hong Kong Limited is an SEC-registered investment advisory firm, registered since 2006. Status as filed: Approved. CRD 139666."
    },
    {
      "q": "How much does DWS Investments Hong Kong Limited manage?",
      "a": "DWS Investments Hong Kong Limited reports $5,103,535,600 in regulatory assets under management in its Form ADV filing dated September 14, 2026 (100% discretionary)."
    },
    {
      "q": "How have DWS Investments Hong Kong Limited's assets and staff changed since 2021?",
      "a": "In the Form ADV data for DWS Investments Hong Kong Limited: Regulatory assets under management: $9,039,569,192 in the October 2021 data and $5,103,535,600 in the October 2026 data, down 44%. Total employees: 70 in October 2021 and 62 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does DWS Investments Hong Kong Limited serve?",
      "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (9); insurance companies (2)."
    },
    {
      "q": "Which custodians does DWS Investments Hong Kong Limited use?",
      "a": "DWS Investments Hong Kong Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists The Bank of New York Mellon as a custodian holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does DWS Investments Hong Kong Limited report any disciplinary disclosures?",
      "a": "Reports 15 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 10 questions about regulatory matters, and 4 questions about civil court matters (11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). 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/139666"
    },
    {
      "q": "What changed in DWS Investments Hong Kong Limited's recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 16 to 17. Regulatory assets under management went from $2,407,874,328 to $5,103,535,600 (+112%)."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 9039569192.0,
      "total_employees": 70,
      "filing_date": "2021-09-30"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 8468762796.0,
      "total_employees": 71,
      "filing_date": "2022-08-31"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 6349596370.0,
      "total_employees": 79,
      "filing_date": "2023-08-09"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 3453097925.0,
      "total_employees": 71,
      "filing_date": "2024-09-03"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 2407874328.0,
      "total_employees": 66,
      "filing_date": "2025-07-11"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 5103535600.0,
      "total_employees": 62,
      "filing_date": "2026-09-14"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 16 to 17.",
        "Regulatory assets under management went from $2,407,874,328 to $5,103,535,600 (+112%)."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "The Bank of New York Mellon",
      "name_as_filed": "THE BANK OF NEW YORK MELLON",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/dws-investments-hong-kong-limited-hong-kong-139666.md",
  "clients": [
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 9,
      "fewer_than_5": false,
      "raum": 4679992861.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 2,
      "fewer_than_5": false,
      "raum": 423542739.0
    }
  ],
  "disclosure_line": "Reports 15 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/139666",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}