{ "crd_number": 157964, "slug": "harvest-global-investments-limited-hong-kong-157964", "primary_business_name": "HARVEST GLOBAL INVESTMENTS LIMITED", "legal_name": "HARVEST GLOBAL INVESTMENTS LIMITED", "dbas": [], "city": "Hong Kong", "state": null, "country": "Hong Kong", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2011-06-22", "years_registered": 15, "period": "2026-10-01", "filing_date": "2026-03-30", "carried_forward": false, "raum_total": 3794257608.0, "raum_discretionary": 3794257608.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 32, "advisory_employees": 18, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "investment_companies": { "raum": 1827100397.0, "count": 1 }, "other_investment_advisers": { "raum": 475665548.0, "count": 2, "fewer_than_5": true }, "pooled_investment_vehicles": { "raum": 274744872.0, "count": 10 }, "corporations_other_businesses": { "raum": 1216746791.0, "count": 8 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 2, "states_registered": [], "websites": [ "https://harvestglobalinvestments.com", "https://linkedin.com/company/harvest-global-investments-limited/mycompany?viewAsMember=true", "https://youtube.com/channel/UCt0Cuki1ysCmlA-jJu_iQaw" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/157964", "disclosure_items": [ { "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.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?" } ], "city_as_filed": "HONG KONG", "url": "https://advisorcensus.com/firm/harvest-global-investments-limited-hong-kong-157964", "display_name": "Harvest Global Investments Limited", "summary": "Harvest Global Investments Limited is an SEC-registered investment advisory firm in Hong Kong, Hong Kong, registered since 2011, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated March 30, 2026.", "citation": "AdvisorCensus. Harvest Global Investments Limited (CRD 157964): 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 investment companies (and business development companies)", "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 Harvest Global Investments Limited compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Harvest Global Investments 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 Harvest Global Investments Limited located?", "a": "Harvest Global Investments Limited's principal office is in Hong Kong, Hong Kong, according to its Form ADV." }, { "q": "Is Harvest Global Investments Limited registered with the SEC or a state?", "a": "Harvest Global Investments Limited is an SEC-registered investment advisory firm, registered since 2011. Status as filed: Approved. CRD 157964." }, { "q": "How much does Harvest Global Investments Limited manage?", "a": "Harvest Global Investments Limited reports $3,794,257,608 in regulatory assets under management in its Form ADV filing dated March 30, 2026 (100% discretionary)." }, { "q": "How have Harvest Global Investments Limited's assets and staff changed since 2021?", "a": "In the Form ADV data for Harvest Global Investments Limited: Regulatory assets under management: $4,761,038,212 in the October 2021 data and $3,794,257,608 in the October 2026 data, down 20%. Total employees: 68 in October 2021 and 32 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Harvest Global Investments Limited serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (10); corporations or other businesses not listed above (8); other investment advisers (2)." }, { "q": "Which custodians does Harvest Global Investments Limited use?", "a": "Harvest Global Investments Limited's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists State Street Bank Luxembourg S.A as a custodian holding 10% or more of its separately managed account assets." }, { "q": "Does Harvest Global Investments Limited report any disciplinary disclosures?", "a": "Reports 2 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation) and 11.H(1)(c) (regulator's civil action dismissed under a settlement). 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/157964" }, { "q": "What changed in Harvest Global Investments Limited's recent Form ADV filings?", "a": "In the April 2026 filing data: Item 11 disclosure answers changed: 2 yes answers, previously 3 (now yes: 11.D(2); now no: 11.D(4), 11.D(5)). Employees performing advisory functions went from 10 to 18. Regulatory assets under management went from $4,248,308,634 to $3,794,257,608 (-11%). Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 4761038212.0, "total_employees": 68, "filing_date": "2021-09-28" }, { "period": "2022-10-01", "regulatory_assets_under_management": 4787723633.0, "total_employees": 52, "filing_date": "2022-08-29" }, { "period": "2023-10-01", "regulatory_assets_under_management": 3818666585.0, "total_employees": 53, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 3459366675.0, "total_employees": 33, "filing_date": "2024-08-14" }, { "period": "2025-10-01", "regulatory_assets_under_management": 4248308634.0, "total_employees": 29, "filing_date": "2025-05-02" }, { "period": "2026-10-01", "regulatory_assets_under_management": 3794257608.0, "total_employees": 32, "filing_date": "2026-03-30" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Item 11 disclosure answers changed: 2 yes answers, previously 3 (now yes: 11.D(2); now no: 11.D(4), 11.D(5)).", "Employees performing advisory functions went from 10 to 18.", "Regulatory assets under management went from $4,248,308,634 to $3,794,257,608 (-11%).", "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "State Street Bank Luxembourg S.A", "name_as_filed": "STATE STREET BANK LUXEMBOURG S.A", "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/harvest-global-investments-limited-hong-kong-157964.md", "clients": [ { "type": "investment_companies", "label": "Investment companies", "count": 1, "fewer_than_5": false, "raum": 1827100397.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 10, "fewer_than_5": false, "raum": 274744872.0 }, { "type": "other_investment_advisers", "label": "Other investment advisers", "count": 2, "fewer_than_5": true, "raum": 475665548.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 8, "fewer_than_5": false, "raum": 1216746791.0 } ], "disclosure_line": "Reports 2 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/157964", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }