Private fund adviser · Central, Hong Kong
Dragon Capital Management (HK) Limited
SEC-registered investment adviser · CRD 287890 · SEC 801-132130
At a glance
Dragon Capital Management (HK) Limited is an SEC-registered investment adviser based in Central, Hong Kong, with $168 million in regulatory assets under management as of its Form ADV filed June 24, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 4,203rd of 4,686 private fund advisers and 13,138th of 17,210 SEC-registered advisers by assets.
Main office +85239798100dragoncapital.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $168M
- Rank among private fund advisers
- #4,203 of 4,686
- Rank among all SEC RIAs
- #13,138 of 17,210
- Clients
- 2
- Accounts
- 2
- Discretionary
- 100% of AUM
- Employees
- 4
- Advisory staff
- 1
- Offices
- 1
Owners and executives on its Form ADV
- Beat SchuerchResponsible Officer
- Babita B. BharwaniHead of Group Compliance
- Dominic T. ScrivenResponsible Officer
- Brian D. RoblingChief Compliance Officer
- Sui Yang PhangInvestment Manager
Custody and brokerage
Custodian
Dragon Capital Management (HK) Limited’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.
Broker-dealer
Affiliated broker-dealer
It names an affiliated broker-dealer: HO CHI Minh City Securities Corporation.
- HO CHI Minh City Securities Corporation
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 1 | $161M | 96% |
| Investment companies | 1 | $7M | 4% |
Private funds
Dragon Capital Management (HK) Limited reports 1 private funds with $161M in gross assets: other private funds (Form ADV Item 7.B).
Disciplinary disclosures
Dragon Capital Management (HK) Limited answers yes to 7 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗
Services
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses and institutions
How it’s paid
- A percentage of assets under management
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗dragoncapital.com ↗
AtlasMembers
The full record on Dragon Capital Management (HK) Limited
Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.
- Assets, accounts, clients and staff, 1 years of filings
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- Growth over one, three and five years
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- Rank against 1,538 peers of its type and size
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- Owners and executives, with titles and stakes
- 5 namedLocked
- Main office, fax and compliance officer
- Locked
- Filing changes this year, with alerts
- 2Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Dragon Capital Management (HK) Limited manage?
Dragon Capital Management (HK) Limited reports $168 million in regulatory assets under management across 2 accounts, 100% of it on a discretionary basis, on its Form ADV filed June 24, 2026.
What kind of firm is Dragon Capital Management (HK) Limited?
Dragon Capital Management (HK) Limited is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets.
Who are Dragon Capital Management (HK) Limited’s clients?
By assets, its largest client types are pooled investment vehicles ($161 million, 1 clients); investment companies ($7 million, 1 clients).
Does Dragon Capital Management (HK) Limited manage private funds?
Yes. It reports 1 private funds with $161 million in gross assets, including other private funds.
Does Dragon Capital Management (HK) Limited have any disciplinary history?
Dragon Capital Management (HK) Limited answers yes to 7 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.
Where these numbers come from
Every figure is Dragon Capital Management (HK) Limited’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-06-24), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.
Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →