Csv Capital Management Ltd. (Shanghai)


Csv Capital Management Ltd. is an adviser based in Shanghai. It manages $19.18 million of regulatory assets for 3 client accounts. It has been registered with the SEC as an adviser since 2013.

Csv Capital Management provides portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Csv Capital Management: assets under management

The assets under management (AUM) of Csv Capital Management Ltd. is $19.18 million. The firm's AUM has gone down by -56% since the beginning of its operation, and $16.57 million of the total AUM is attributable to clients outside of the United States.

The firm manages $11.78 million in discretionary accounts and $7.4 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $5.89 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $7.4 million.
Csv Capital Management has custody of $11.78 million in cash and securities for 2 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Csv Capital Management Ltd. for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Earl Ching Hwa Yen serves?

The only and largest group of clients of Earl Ching Hwa Yen is pooled investment vehicles with 3 clients and $19.18 million of assets under management. Among the 1 most similar advisory firms, Csv Capital Management has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $19.18 million for 3 clients. 66% of the firm’s clients are foreign persons or businesses.

Csv Capital Management also advises several private funds. Namely, three hedge funds. The minimum investment commitment required of non-related persons is $100,000 for each fund.

Careers at Csv Capital Management Ltd.

The company employs 8 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Earl Ching Hwa Yen has been acting as President since 1 Jul 2009. Earl Chung Hwa Yen joined the executive team most recently as the Trustee.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Earl Chung Hwa Yen Portfolio manager & director 1 Jul 2009 Other 5734051
Junyuan Tong Chief compliance officer 1 Jul 2009 Other 6208970
Csv China Opportunities Ltd. Shareholder 1 Jul 2009 75% - 100% 98-0633521
Earl Ching Hwa Yen Chairman 1 Jul 2009 Other 5734051
Ding Xin Chief executive officer 1 Jan 2017 Other 6765317

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Earl Chung Hwa Yen Revocable Trust Shareholder 1 May 2011 75% - 100% xxx-xx-xxxx
Earl Chung Hwa Yen Trustee 1 May 2012 75% - 100% 5734051

Based in Shanghai

The principal office where Csv Capital Management Ltd. performs its advisory services is located at C/O Ascend (Shanghai) Co., Ltd., Shanghai, 200040, which is also the mailing address of the firm. An additional office of the firm is in Brookline, MA. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 8621-6226-1851 or by fax 8621-6226-1831. The normal business hours are 9am to 6pm on Monday - Friday. You can find more information about the New York firm at csvpartners.com/.