# 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.

- CRD: 124465
- Filed as: GUINNESS ATKINSON ASSET MANAGEMENT, INC.
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Pasadena, CA
- Filing period: October 2026
- Form ADV filing dated: March 30, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/124465
- AdvisorCensus page: https://advisorcensus.com/firm/guinness-atkinson-asset-management-inc-pasadena-ca-124465

## Quick answers

**How 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. The amounts are in Item 5 of its Form ADV Part 2A brochure.

**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

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

### Regulatory assets under management (Item 5.F)
- Total: $344,363,413
- Discretionary: $344,363,413
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Investment companies | 1 | $344,363,413 |

### Advisory services (Item 5.G)
- Portfolio management for investment companies (and business development companies)

### Firm details
- Registered since: 2002 (23 years)
- Employees: 41 total, 24 performing advisory functions
- Wrap fee program participation: No
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Other offices (Schedule D, Section 1.F), as of the April 2026 filing
- London

### Websites listed on Form ADV (Item 1.I)
- gafunds.com
- vimeo.com/user111709164
- Facebook @gafunds
- Instagram @gafunds
- LinkedIn @guinness-atkinson-asset-management
- YouTube @UC5gdjseR7tRyzmwmQQkuAPw
- YouTube @GuinnessAtkinson

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $410,587,049 | 15 | March 23, 2021 |
| October 2022 | $363,357,419 | 15 | March 10, 2022 |
| October 2023 | $272,928,336 | 24 | March 17, 2023 |
| October 2024 | $341,627,729 | 24 | July 26, 2024 |
| October 2025 | $321,994,234 | 24 | July 28, 2025 |
| October 2026 | $344,363,413 | 41 | March 30, 2026 |

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.

## 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)).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Guinness Atkinson Asset Management, Inc. (CRD 124465): Form ADV filing data as of October 2026.