Pacific Harbor Holdings, Limited (Hong Kong)


Pacific Harbor Holdings, Limited is an adviser based in Hong Kong. It manages $72.6 million of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012.

Pacific Harbor Holdings, Limited 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.

Pacific Harbor Holdings, Limited: assets under management

The assets under management (AUM) of Pacific Harbor Holdings, Limited is $72.6 million, all of which is managed in discretionary accounts. The firm's AUM has gone down by -67% since the beginning of its operation, and $72.6 million of the total AUM is attributable to clients outside of the United States.

The firm manages $72.6 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $72.6 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pacific Harbor Holdings, Limited for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Pacific Harbor Holdings, Limited serves?

The only and largest group of clients of Pacific Harbor Holdings, Limited is pooled investment vehicles with 1 clients and $72.6 million of assets under management. Among the 5 most similar advisory firms, Pacific Harbor Holdings, Limited has the highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $72.6 million for 1 clients. 100% of the firm’s clients are foreign persons or businesses.

Pacific Harbor Holdings, Limited doesn't advise any private funds.

Careers at Pacific Harbor Holdings, Limited

The company employs 14 people that are either part- or full-time employees. 100 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.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Kwok Man Albert Yu Chief financial officer 1 Aug 2006 Other 6081570
David Vernon Barlett Managing director 1 Aug 2006 Other 6081558
Warren Dudley Allderige Ceo and indirect owner 1 Aug 2006 75% - 100% 1761552
Kwok Man A Yu Chief financial officer 1 Aug 2006 Other 6081570
Pacific Harbor Group Holdings Pty Limited Owner 1 May 2007 75% - 100% 000000000
Sui Ming Ng Chief compliance officer 1 Oct 2012 Other 6129696
Kwok Man Albert Yu Chief compliance officer 1 Aug 2013 Other 6081570

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Warren Dudley Allderige Indirect owner 1 Mar 2007 75% - 100% 1761552
Pacific Harbor Associates Limited Indirect owner 1 May 2007 75% - 100% 000000000

Based in Hong Kong

The principal office where Pacific Harbor Holdings, Limited performs its advisory services is located at Suites 1416 17, 14/F Jardine House, Hong Kong, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 852 2167 0500 or by fax 852 2295 1122. The normal business hours are 0830-1830 on Monday - Friday.