# HARVEST GLOBAL INVESTMENTS LIMITED

HARVEST GLOBAL INVESTMENTS LIMITED of HONG KONG is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 157964
- Type: SEC-registered investment adviser
- SEC file number: 801-72429
- Location: 32/F, LEE GARDEN ONE, 33 HYSAN AVENUE, CAUSEWAY BAY, HONG KONG
- Phone: 852 3913 3333
- Latest filing: 2026-03-30
- Regulatory AUM: $3.8B
- Discretionary AUM: $3.8B
- Clients: 32
- Accounts: 26

## Business model

- Compensation: % of AUM, Performance
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (32)

_Showing 25 of 32 people._

| Name | Role | Location |
| --- | --- | --- |
| Li Ming | DIRECTOR | New York, NY |
| Yiqian Jiang | RESPONSIBLE OFFICER; RESPONSIBLE OFFICER, DIRECTOR, CHIEF INVESTMENT OFFICER | — |
| Cheuk Fung David Tong | CHIEF COMPLIANCE OFFICER | — |
| Song Guo | DIRECTOR | — |
| Lingfei Lu | CHAIRMAN & DIRECTOR; DIRECTOR | — |
| Zhixin Chen | DIRECTOR; DIRECTOR, CEO; DIRECTOR, CEO, RESPONSIBLE OFFICER | — |
| Jun Tang | DIRECTOR | — |
| Chuying Kevin Shu | CHIEF MARKETING OFFICER | — |
| Qin Zhang | RESPONSIBLE OFFICER | — |
| Tongli Han | DIRECTOR/CEO/CIO/RESPONSIBLE OFFICER | — |
| Lei Jing | CHAIRMAN & DIRECTOR | — |
| CHOY PENG WAH | CHIEF EXECUTIVE OFFICER, VICE CHAIRMAN, DIRECTOR & RESPONSIBLE OFFICER; VICE CHAIRMAN, DIRECTOR | — |
| CHOW IRENE MAN LING | CHIEF OPERATIONS OFFICER | — |
| TAN ANDREW KOON SENG | RESPONSIBLE OFFICER | — |
| BANG MICHELE MI-KYUNG | DIRECTOR | — |
| ZHAO XUE JUN | CHAIRMAN & DIRECTOR; DIRECTOR | — |
| WRIGHT LINDSAY MEGAN | VICE CHAIRMAN & DIRECTOR | — |
| WANG WEI | DIRECTOR | Beijing, F4 |
| JIANG YIQIAN | DIRECTOR, RESPONSIBLE OFFICER; RESPONSIBLE OFFICER | — |
| TONG CHEUK FUNG DAVID | CHIEF COMPLIANCE OFFICER | — |
| CHEN DI | CHIEF BUSINESS DEVELOPMENT OFFICER & RESPONSIBLE OFFICER; RESPONSIBLE OFFICER | — |
| KWAN CHI WANG | CHIEF INVESTMENT OFFICER & RESPONSIBLE OFFICER; DIRECTOR, CHIEF INVESTMENT OFFICER, CHIEF EXECUTIVE OFFICER  & RESPONSIBLE OFFICER; DIRECTOR, CHIEF INVESTMENT OFFICER & RESPONSIBLE OFFICER | — |
| SUN CHEN | DIRECTOR, RESPONSIBLE OFFICER & CHIEF EXECUTIVE OFFICER | — |
| DALE Ashley Robert William | RESPONSIBLE OFFICER, CHIEF BUSINESS DEVELOPMENT OFFICER & CHIEF MARKETING OFFICER | — |
| JING LEI | CHAIRMAN & DIRECTOR; DIRECTOR | — |


## Disclosures (9)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-12-03 | regulatory | THE CHINA SECURITIES REGULATORY COMMISSION (THE "CSRC") HAS IDENTIFIED THE FOLLOWING MAIN ISSUES IN RELATION TO THE COMPANY, MAINLY COVERING CERTAIN NON COMPLIANCE ISSUES IN RELATION TO THE MANAGEMENT ISSUES OF COMPLIANCE AND INTERNAL CONTROL, INVESTMENT MANAGEMENT AND CORPORATE FINANCE | Final | — |
| 2015-02-13 | regulatory | THE CHINA SECURITIES REGULATORY COMMISSION (THE "CSRC") HAS IDENTIFIED THE FOLLOWING MAIN ISSUES IN RELATION TO THE COMPANY DURING AN EARLIER INDUSTRY EXAMINATION, MAINLY COVERING CERTAIN NON COMPLIANCE ISSUES IN RELATION TO THE MANAGEMENT ISSUES OF PORTFOLIO MANAGER'S APPOINTMENT AND AUTHORIZATION,… | Final | — |
| 2014-05-19 | civil | KD ALLEGES THAT HGI AND ITS PARENT, HFM SET UP (THROUGH THEIR AFFILIATE) A UNITED STATES ENTITY WITH KD IN ORDER TO MISAPPROPRIATE KD'S INTELLECTUAL PROPERTY REGARDING DISTRIBUTION OF MUTUAL FUNDS AND EXCHANGE TRADED FUNDS IN THE UNITED STATES AND CANADA. | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/157964/brochure
- Similar advisers: https://search.stillhousedata.com/firm/157964/similar
- Related entities: https://search.stillhousedata.com/firm/157964/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/157964

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.