{
  "crd_number": 124465,
  "slug": "guinness-atkinson-asset-management-inc-pasadena-ca-124465",
  "primary_business_name": "GUINNESS ATKINSON ASSET MANAGEMENT, INC.",
  "legal_name": "GUINNESS ATKINSON ASSET MANAGEMENT, INC.",
  "dbas": [],
  "city": "Pasadena",
  "state": "CA",
  "country": "United States",
  "cbsa_code": "31080",
  "metro": {
    "cbsa_code": "31080",
    "common_name": "Los Angeles",
    "msa_name": "Los Angeles-Long Beach-Anaheim, CA",
    "path": "/advisors/ca/los-angeles"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "2002-12-10",
  "years_registered": 23,
  "period": "2026-10-01",
  "filing_date": "2026-03-30",
  "carried_forward": false,
  "raum_total": 344363413.0,
  "raum_discretionary": 344363413.0,
  "raum_non_discretionary": 0.0,
  "raum_band": "100m_500m",
  "raum_band_label": "$100 million to $500 million",
  "total_employees": 41,
  "advisory_employees": 24,
  "client_count_bucket": null,
  "clients_by_type": {
    "investment_companies": {
      "raum": 344363413.0,
      "count": 1
    }
  },
  "compensation_types": [
    "percentage_of_aum"
  ],
  "advisory_activities": [
    "portfolio_management_investment_companies"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 0,
  "states_registered": [],
  "websites": [
    "https://facebook.com/gafunds",
    "https://gafunds.com",
    "https://instagram.com/gafunds",
    "https://linkedin.com/company/guinness-atkinson-asset-management",
    "https://vimeo.com/user111709164",
    "https://youtube.com/channel/UC5gdjseR7tRyzmwmQQkuAPw?app=desktop",
    "https://youtube.com/user/GuinnessAtkinson/featured"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/124465",
  "city_as_filed": "PASADENA",
  "url": "https://advisorcensus.com/firm/guinness-atkinson-asset-management-inc-pasadena-ca-124465",
  "display_name": "Guinness Atkinson Asset Management, Inc.",
  "summary": "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.",
  "citation": "AdvisorCensus. Guinness Atkinson Asset Management, Inc. (CRD 124465): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management"
  ],
  "advisory_activity_labels": [
    "Portfolio management for investment companies (and business development companies)"
  ],
  "quick_answers": [
    {
      "q": "How is Guinness Atkinson Asset Management, Inc. compensated?",
      "a": "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. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Guinness Atkinson Asset Management, Inc. located?",
      "a": "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)."
    },
    {
      "q": "Is Guinness Atkinson Asset Management, Inc. registered with the SEC or a state?",
      "a": "Guinness Atkinson Asset Management, Inc. is an SEC-registered investment advisory firm, registered since 2002. Status as filed: Approved. CRD 124465."
    },
    {
      "q": "How much does Guinness Atkinson Asset Management, Inc. manage?",
      "a": "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)."
    },
    {
      "q": "How have Guinness Atkinson Asset Management, Inc.'s assets and staff changed since 2021?",
      "a": "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."
    },
    {
      "q": "What types of clients does Guinness Atkinson Asset Management, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (1)."
    },
    {
      "q": "Does Guinness Atkinson Asset Management, Inc. report any disciplinary disclosures?",
      "a": "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"
    },
    {
      "q": "What changed in Guinness Atkinson Asset Management, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 17 to 24."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 410587049.0,
      "total_employees": 15,
      "filing_date": "2021-03-23"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 363357419.0,
      "total_employees": 15,
      "filing_date": "2022-03-10"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 272928336.0,
      "total_employees": 24,
      "filing_date": "2023-03-17"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 341627729.0,
      "total_employees": 24,
      "filing_date": "2024-07-26"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 321994234.0,
      "total_employees": 24,
      "filing_date": "2025-07-28"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 344363413.0,
      "total_employees": 41,
      "filing_date": "2026-03-30"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 17 to 24."
      ]
    },
    {
      "period": "2026-01-01",
      "period_label": "January 2026",
      "notes": [
        "Item 11 disclosure answers changed: 0 yes answers, previously 2 (now no: 11.A(1), 11.A(2))."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/guinness-atkinson-asset-management-inc-pasadena-ca-124465.md",
  "clients": [
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 344363413.0
    }
  ],
  "disclosure_line": "Reports no disclosure items on Form ADV Item 11.",
  "disclosure_items": [],
  "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/124465",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}