Private fund adviser · Wanchai, Hong Kong
Principal Asset Management (asia)
Principal Asset Management Company (asia) Limited · SEC-registered investment adviser · CRD 322390 · SEC 801-126155
At a glance
Principal Asset Management (asia) is an SEC-registered investment adviser based in Wanchai, Hong Kong, with $14.4 billion in regulatory assets under management as of its Form ADV filed March 31, 2026. Its largest client group by assets is pooled investment vehicles. By Form ADV it is a private fund adviser, ranked 467th of 4,686 private fund advisers and 1,067th of 17,210 SEC-registered advisers by assets.
Main office +85228271628principalasia.comLinkedInAs filed on Form ADV
- Regulatory AUM
- $14B
- Rank among private fund advisers
- #467 of 4,686
- Rank among all SEC RIAs
- #1,067 of 17,210
- Clients
- 35
- Accounts
- 35
- Discretionary
- 94% of AUM
- Employees
- 39
- Advisory staff
- 30
- Offices
- 2
Owners and executives on its Form ADV
- Raj K. SinghDirector
- Justin T. LangeChief Compliance Officer
- Rongsa ZhongDirector
- George DjurasovicGeneral Counsel
- Barbara WenigChief Business Officer
- Kamal BhatiaPresident & CEO, Principal Asset Management
- Thomas W. CHEONGExecutive Vice President, Principal Asia
- Alan X. WangHong Kong China Equities MD & CIO
- Yo-Hann TanDirector
- Phillip H. SaranDirector
- John M. EganChief Financial Officer
Custody and brokerage
Broker-dealer
Affiliated broker-dealer
It names affiliated broker-dealers: Equity FC, LTD., Principal Funds Distributor, Inc., Principal Securities, Inc. and Sami Brokerage LLC.
- Equity FC, LTD.
- Principal Funds Distributor, Inc. ↗CRD 43261
It doesn’t hold client accounts or customer funds itself. Its annual audited report filed with the SEC, March 2026
- Principal Securities, Inc. ↗CRD 1137
- Sami Brokerage LLC ↗CRD 18217
An introducing broker-dealer: its trades clear through National Financial Services (Fidelity), which holds the brokerage accounts. Its annual audited report filed with the SEC, March 2026
Who it serves
| Client type | Clients | Regulatory AUM | Share |
|---|---|---|---|
| Pooled investment vehicles | 14 | $11B | 80% |
| Banking or thrift institutions | 1 | $2.0B | 14% |
| Pension and profit sharing plans | 8 | $384M | 3% |
| Sovereign wealth funds and foreign official institutions | 1 | $243M | 2% |
| Investment companies | 10 | $222M | 2% |
| Corporations or other businesses | 1 | $50M | <1% |
Disciplinary disclosures
Principal Asset Management (asia) answers yes to 2 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 pooled investment vehicles
- Portfolio management for businesses and institutions
- Selecting other advisers
How it’s paid
- A percentage of assets under management
- Fixed fees
- Performance-based fees
Form ADV and brochures on the SEC’s adviser search ↗principalasia.com ↗
AtlasMembers
The full record on Principal Asset Management (asia)
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, 3 years of filings
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- Growth over one, three and five years
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- Rank against 832 peers of its type and size
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- Owners and executives, with titles and stakes
- 11 namedLocked
- Main office, fax and compliance officer
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- Filing changes this year, with alerts
- 1Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Background
Questions
How much does Principal Asset Management (asia) manage?
Principal Asset Management (asia) reports $14.4 billion in regulatory assets under management across 35 accounts, 94% of it on a discretionary basis, on its Form ADV filed March 31, 2026.
What kind of firm is Principal Asset Management (asia)?
Principal Asset Management (asia) is a private fund adviser by its Form ADV answers. Private funds are at least half of its business by assets. It reports a bank or thrift among its related persons. A public reporting company controls it.
Who are Principal Asset Management (asia)’s clients?
By assets, its largest client types are pooled investment vehicles ($11.5 billion, 14 clients); banking or thrift institutions ($2.0 billion, 1 clients); pension and profit sharing plans ($384 million, 8 clients).
Does Principal Asset Management (asia) have any disciplinary history?
Principal Asset Management (asia) answers yes to 2 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 Principal Asset Management (asia)’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 (2026-03-31), 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 →