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Guinness Atkinson Asset Management, Inc.
Filed as GUINNESS ATKINSON ASSET MANAGEMENT, INC.
Guinness Atkinson Asset Management, Inc. is an SEC-registered investment advisory firm in Pasadena, CA, registered since 2002, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated March 30, 2026.
Quick answers
From the filingHow is Guinness Atkinson Asset Management, Inc. compensated?
On its Form ADV (Item 5.E, October 2026), Guinness Atkinson Asset Management, Inc. reports these compensation arrangements: a percentage of assets under its management.
Where is Guinness Atkinson Asset Management, Inc. located?
Guinness Atkinson Asset Management, Inc.'s principal office is in Pasadena, CA, according to its Form ADV; the April 2026 filing also lists 1 other office (Schedule D, Section 1.F).
Is Guinness Atkinson Asset Management, Inc. registered with the SEC or a state?
Guinness Atkinson Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 124465.
How much does Guinness Atkinson Asset Management, Inc. manage?
Guinness Atkinson Asset Management, Inc. reports $344,363,413 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary).
How have Guinness Atkinson Asset Management, Inc.'s assets and staff changed since 2021?
In the Form ADV data for Guinness Atkinson Asset Management, Inc.: Regulatory assets under management: $410,587,049 in the October 2021 data and $344,363,413 in the October 2026 data, down 16%. Total employees: 15 in October 2021 and 41 in October 2026. Assets under management move with markets as well as with clients coming and going.
What types of clients does Guinness Atkinson Asset Management, Inc. serve?
By number of clients on Form ADV Item 5.D: investment companies (1).
Does Guinness Atkinson Asset Management, Inc. report any disciplinary disclosures?
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/124465
What changed in Guinness Atkinson Asset Management, Inc.'s recent Form ADV filings?
In the April 2026 filing data: Employees performing advisory functions went from 17 to 24.
From the Form ADV filing
Every figure below is as the firm filed it with regulators, as of October 2026.
How the firm is compensated
Item 5.E- A percentage of assets under your management
Item 5.E lists how the firm is compensated for its advice; Items 5.B, 6.A, and 7.A show whether its people or related companies can also earn commissions. Percentage of assets, fixed, hourly, subscription, and performance-based fees come from clients (a performance-based fee depends on investment results); commissions come with a sale or a trade, often from the company behind the product. How fees, commissions, and other arrangements differ
Regulatory assets under management
Item 5.F$344,363,413 as of October 2026, filing dated March 30, 2026.
A measure of scale, not skill or returns. Discretionary means the firm decides trades; non-discretionary means clients approve each one. What assets under management means
Who the firm serves
Item 5.DA firm with no individual clients is an institutional manager even if it manages billions; the mix tells you whom the practice is built around.
Advisory services
Item 5.G- Portfolio management for investment companies (and business development companies)
Registration and firm details
Items 1, 2, 5- Registration
- SEC-registered investment adviser. Status as filed: Approved.
- Registered since
- 2002 (23 years)
- Employees
- Total: 41. Performing investment advisory functions: 24.
- Wrap fee program participation
- No.
- Other offices (Schedule D, Section 1.F)
-
1 other office, as of the April 2026 filing
- States registered or notice-filed
- Not reported.
SEC-registered investment advisers are examined by the SEC. SEC, state, and exempt registration
Disclosures
Item 11None Reports no disclosure items on Form ADV Item 11. View on IAPD.
Item 11 asks about criminal, regulatory, and civil events involving the firm and its advisory personnel. The detail of each yes answer is on the IAPD record. Reading a firm's disclosures
Assets and staff over time
Items 5.A, 5.F| Data period | Assets under management | Employees | Filing dated |
|---|---|---|---|
| October 2026 | $344,363,413 | 41 | March 30, 2026 |
| October 2025 | $321,994,234 | 24 | July 28, 2025 |
| October 2024 | $341,627,729 | 24 | July 26, 2024 |
| October 2023 | $272,928,336 | 24 | March 17, 2023 |
| October 2022 | $363,357,419 | 15 | March 10, 2022 |
| October 2021 | $410,587,049 | 15 | March 23, 2021 |
Regulatory assets under management: $410,587,049 in the October 2021 data and $344,363,413 in the October 2026 data, down 16%.
Total employees: 15 in October 2021 and 41 in October 2026.
As filed in each year's data for the same month. Assets under management move with markets as well as with clients coming and going; they measure scale, not skill or returns. Most firms update these figures once a year.
Changes in the filing
Last 12 months- April 2026
- Employees performing advisory functions went from 17 to 24.
- January 2026
- Item 11 disclosure answers changed: 0 yes answers, previously 2 (now no: 11.A(1), 11.A(2)).
Compared month to month from the SEC's monthly adviser data and the state compilation feed. Owners and control persons are summarized, never named.
Websites listed on Form ADV
Item 1.ISource: Form ADV, as of October 2026. Values appear as filed; a value the firm did not report is shown as "Not reported."
Cite this page
AdvisorCensus. Guinness Atkinson Asset Management, Inc. (CRD 124465): Form ADV filing data as of October 2026. https://advisorcensus.com/firm/guinness-atkinson-asset-management-inc-pasadena-ca-124465