{ "crd_number": 295905, "slug": "new-china-capital-management-corp-stamford-ct-295905", "primary_business_name": "NEW CHINA CAPITAL MANAGEMENT CORP.", "legal_name": "NEW CHINA CAPITAL MANAGEMENT CORP.", "dbas": [], "city": "Stamford", "state": "CT", "country": "United States", "cbsa_code": "14860", "metro": { "cbsa_code": "14860", "common_name": "Bridgeport", "msa_name": "Bridgeport-Stamford-Danbury, CT", "path": "/advisors/ct/bridgeport" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "2023-04-28", "years_registered": 3, "period": "2026-10-01", "filing_date": "2026-05-06", "carried_forward": false, "raum_total": 233720000.0, "raum_discretionary": 233720000.0, "raum_non_discretionary": 0.0, "raum_band": "100m_500m", "raum_band_label": "$100 million to $500 million", "total_employees": 4, "advisory_employees": 4, "client_count_bucket": null, "clients_by_type": { "pooled_investment_vehicles": { "raum": 233720000.0, "count": 2 } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "CT" ], "websites": [ "https://cathay-capital.com" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/295905", "city_as_filed": "STAMFORD", "url": "https://advisorcensus.com/firm/new-china-capital-management-corp-stamford-ct-295905", "display_name": "New China Capital Management Corp.", "summary": "New China Capital Management Corp. is an SEC-registered investment advisory firm in Stamford, CT, registered since 2023, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated May 6, 2026.", "citation": "AdvisorCensus. New China Capital Management Corp. (CRD 295905): 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)" ], "quick_answers": [ { "q": "How is New China Capital Management Corp. compensated?", "a": "On its Form ADV (Item 5.E, October 2026), New China Capital Management Corp. 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 New China Capital Management Corp. located?", "a": "New China Capital Management Corp.'s principal office is in Stamford, CT, according to its Form ADV." }, { "q": "Is New China Capital Management Corp. registered with the SEC or a state?", "a": "New China Capital Management Corp. is an SEC-registered investment advisory firm, registered since 2023. Status as filed: Approved. CRD 295905." }, { "q": "How much does New China Capital Management Corp. manage?", "a": "New China Capital Management Corp. reports $233,720,000 in regulatory assets under management in its Form ADV filing dated May 6, 2026 (100% discretionary)." }, { "q": "How have New China Capital Management Corp.'s assets and staff changed since 2023?", "a": "In the Form ADV data for New China Capital Management Corp.: Regulatory assets under management: $353,024,000 in the October 2023 data and $233,720,000 in the October 2026 data, down 34%. Total employees: 4 in October 2023 and 4 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does New China Capital Management Corp. serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (2)." }, { "q": "Does New China Capital Management Corp. 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/295905" }, { "q": "What changed in New China Capital Management Corp.'s recent Form ADV filings?", "a": "In the April 2026 filing data: Regulatory assets under management went from $268,044,000 to $233,720,000 (-13%)." } ], "filing_history": [ { "period": "2023-10-01", "regulatory_assets_under_management": 353024000.0, "total_employees": 4, "filing_date": "2023-05-08" }, { "period": "2024-10-01", "regulatory_assets_under_management": 278907000.0, "total_employees": 4, "filing_date": "2024-05-01" }, { "period": "2025-10-01", "regulatory_assets_under_management": 268044000.0, "total_employees": 4, "filing_date": "2025-05-08" }, { "period": "2026-10-01", "regulatory_assets_under_management": 233720000.0, "total_employees": 4, "filing_date": "2026-05-06" } ], "recent_changes": [ { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Regulatory assets under management went from $268,044,000 to $233,720,000 (-13%)." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/new-china-capital-management-corp-stamford-ct-295905.md", "clients": [ { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 2, "fewer_than_5": false, "raum": 233720000.0 } ], "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/295905", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }