# DRAGON CAPITAL MANAGEMENT (HK) LIMITED

DRAGON CAPITAL MANAGEMENT (HK) LIMITED of CENTRAL is an SEC-registered investment adviser.

## Registration

- CRD: 287890
- Type: SEC-registered investment adviser
- SEC file number: 801-132130
- Location: UNIT 2406, 24/F, 9 QUEEN'S ROAD, CENTRAL, HK
- Phone: 85239798100
- Latest filing: 2026-06-24
- Regulatory AUM: $168.3M
- Discretionary AUM: $168.3M
- Clients: 4
- Accounts: 2

## Business model

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

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| Dominic Timothy Charles Scriven | RESPONSIBLE OFFICER; SHAREHOLDER | — |
| Beat Schuerch | RESPONSIBLE OFFICER | — |
| Babita Bhagwan Bharwani | HEAD OF GROUP COMPLIANCE | — |
| Brian David Robling | CHIEF COMPLIANCE OFFICER | — |
| SCRIVEN DOMINIC TIMOTHY CHARLES | DIRECTOR; RESPONSIBLE OFFICER; SHAREHOLDER | — |
| Leung Maria Suk Man | DIRECTOR; DIRECTOR, RESPONSIBLE OFFICER | — |
| Shrimpton John | SHAREHOLDER | — |
| CHUBB LACHLAN | HEAD OF HK COMPLIANCE | — |
| SCHUERCH BEAT | RESPONSIBLE OFFICER | — |
| BHARWANI BABITA BHAGWAN | HEAD OF GROUP COMPLIANCE | — |
| Fritschi Juerg Christoph | RESPONSIBLE OFFICER | — |
| PASIKOWSKI ALEXANDER JAMES | DIRECTOR | — |
| Sui Yang Phang | INVESTMENT MANAGER | — |


## Disclosures (3)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-03-14 | regulatory | VIETNAMESE LAW REQUIRES A PUBLIC FUND TO PRE-ANNOUNCE TO THE MARKET TRADES THAT IT MAKES IN COMPANIES WHERE A MEMBER OF THE FUND'S BOARD OF REPRESENTATIVES IS AN INSIDER. A FUND MANAGED BY DRAGON CAPITAL VIETFUND MANAGEMENT JSC (DCVFM) TRADED SHARES IN A LOCAL VIETNAMESE BANK ON SIX OCCASIONS BETWEE… | Final | $5K |
| 2023-11-06 | regulatory | VIETNAMESE LAW REQUIRES ALL EMPLOYEES OF A FUND MANAGEMENT COMPANY TO SUBMIT PRE- AND POST-TRADE REPORTS FOR EACH SECURITIES TRANSACTION TO THE COMPANY'S COMPLIANCE DEPARTMENT. IN OCTOBER 2023, THE STATE SECURITIES COMMISSION OF VIETNAM FOUND THAT TWO EMPLOYEES OF DRAGON CAPITAL VIETFUND MANAGEMENT… | Final | $5K |
| 2018-10-30 | regulatory | UPON LAUNCH OF VIETNAM'S DERIVATIVES MARKET IN AUGUST 2017, DRAGON CAPITAL VIETFUND MANAGEMENT JSC CONDUCTED A SMALL NUMBER OF TEST TRANSACTIONS USING ITS PROPRIETARY TRADING ACCOUNT, BUT DISCOVERED AFTERWARDS THAT THE NEW REGULATIONS ON DERIVATIVES DID NOT PERMIT SUCH TRANSACTIONS BY FUND MANAGEMEN… | Final | $7K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/287890/brochure
- Similar advisers: https://search.stillhousedata.com/firm/287890/similar
- Related entities: https://search.stillhousedata.com/firm/287890/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/287890

---

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.