RIA Intel›Advisers›New York›CATHAY CAPITAL NA, LLC

CATHAY CAPITAL NA, LLC

Advisory

N·NEW YORK, NY

Data as of Mar 27, 2026 · Source: SEC Form ADV

Total AUM

$77M

1-Year AUM Growth

-3.0%

3-Year CAGR

+4.1%

Employees

4

Assets Under Management

Total AUM$77M

Discretionary AUM$77M

Non-Discretionary AUM$0

Discretionary %100%

Total Clients3

Team

Total Employees4

Investment Advisers6

Employee Growth (1Y)—

Filing History

Total Filings on Record19

First FilingJul 22, 2015

Latest FilingMar 27, 2026

🔒 Full AUM trend chart and 19 historical filings spanning 11+ years

Registration

Status—

Registration Date—

SEC RegisteredYes

Exempt ReportingNo

⚡ Succession Risk Score

Our proprietary 5-pillar model analyzes founder tenure, ownership concentration, AUM dependency, and more to score transition risk.

📊 Peer Benchmarking

See how this firm ranks against peers nationally and by state across AUM growth, efficiency, team size, and 16 other metrics.

👥 Owners & Officers

View the complete ownership structure from SEC Schedule A/B filings, including control persons and their tenure.

🏦 Client Demographics

Detailed breakdown of client types including individuals, high-net-worth, institutions, pension plans, and charitable organizations.

Get the full picture on CATHAY CAPITAL NA, LLC

Succession risk scoring, peer benchmarking, ownership structure, private fund details, and 20+ years of filing history.