ANDA ASSET MANAGEMENT CO., LTD. of SEOUL is an SEC-registered investment adviser (CRD 165123). Regulatory assets under management: $1.2B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Lee James Mark | CO-CEO AND DIRECTOR | Singapore, U0 |
| Kwon Uk Nmn Choi | SHAREHOLDER | — |
| Min Wook Cho | DIRECTOR | — |
| Daniel Warren Perez | REPRESENTATIVE DIRECTOR; REPRESENTATIVE DIRECTOR / CMO | — |
| Hyung Soon Park | REPRESENTATIVE DIRECTOR | — |
| Eui Hyun Park | REPRESENTATIVE DIRECTOR | — |
| Geun Chang Choi | CHIEF OPERATING OFFICER; REPRESENTATIVE DIRECTOR / COO | — |
| Dae Il Kim | CHIEF COMPLIANCE OFFICER | — |
| KIM MILLIE NMN | REPRESENTATIVE DIRECTOR | — |
| LEE KAHYEONG NMN | CEO AND REPRESENTATIVE DIRECTOR; REPRESENTATIVE DIRECTOR; VICE PRESIDENT | — |
| YANG DOOHYEON NMN | CHIEF COMPLIANCE OFFICER / HEAD OF LEGAL & COMPLIANCE; CHIEF COMPLIANCE OFFICER / LEGAL OFFICER; CHIEF LEGAL OFFICER | — |
| CHOI KWON UK NMN | SHAREHOLDER; SHAREHOLDER AND EXECUTIVE OFFICER | — |
| PEREZ DANIEL WARREN | HEAD OF BUSINESS DEVELOPMENT AND DIRECTOR; REPRESENTATIVE DIRECTOR; SHAREHOLDER AND HEAD OF BUSINESS DEVELOPMENT | — |
| KIM DAE JOONG | PORTFOLIO MANAGER AND DIRECTOR; SHAREHOLDER AND PORTFOLIO MANAGER | — |
| KIM SUNGRYUNG | SHAREHOLDER; SHAREHOLDER AND ANALYST | — |
| BYUN HEEKU | CHIEF COMPLIANCE OFFICER; HEAD OF LEGAL AND COMPLIANCE | — |
| CHO MIN WOOK | CHIEF COMPLIANCE OFFICER; DIRECTOR; HEAD OF OPERATIONS | — |
| PARK JONG SOON | DIRECTOR; REPRESENTATIVE DIRECTOR | — |
| Park Eui Hyun | REPRESENTATIVE DIRECTOR | — |
| KIM CHUNG SUN | CHIEF COMPLIANCE OFFICER | — |
| CHOI GEUN CHANG | CHIEF OPERATING OFFICER | — |
| Kwon Uk (Nmn) Choi | SHAREHOLDER | — |
| Dae Joong Kim | REPRESENTATIVE DIRECTOR / CIO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-03 | regulatory | ANDA RECEIVED AN INSPECTION LETTER FROM THE FINANCIAL SUPERVISORY SERVICE ON DECEMBER 20, 2023. THE INQUIRY CENTERED ON ANDA'S REPORTING OBLIGATIONS TO THE FSC AND THE EXCHANGE UNDER ARTICLE 180-2 (REPORT OF SHORT-SELLING BALANCE) OF THE FINANCIAL INVESTMENT SERVICES AND CAPITAL MARKETS ACT. ANDA RE… | Final | $100K |
| 2021-03-18 | regulatory | ON FEBRUARY 9, 2021, ANDA ASSET MANAGEMENT CO. LTD. ("ANDA") APPLIED FOR BOOK-BUILDING FOR XIILAB (189330 KS EQUITY) THROUGH THE UNDERWRITER, IBK SECURITIES CO., LTD. THE PORTFOLIO MANAGERS OF ANDA KOSDAQ VENTURE FUNDS ("THE FUNDS") DECIDED NOT TO COMMIT TO A LOCK-UP PERIOD, HOWEVER, DUE TO AN ADMIN… | Final | $4K |
| 2020-01-31 | regulatory | THE KOREAN FINANCIAL SUPERVISORY SERVICE ("FSS"), DURING THE COURSE OF A ROUTINE EXAM IN JUNE 2019, IDENTIFIED THREE SEPARATE TECHNICAL RULE VIOLATION MATTERS FOR ANDA ASSET MANAGEMENT CO., LTD. ("ANDA"). SUBSEQUENTLY, ANDA HAS BEEN ASSESSED PENALTIES BY THE FSS RELATING TO THESE TECHNICAL RULE VIOL… | Final | $60K |