# CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC

CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC of NEW YORK, NY is an SEC-registered investment adviser.

## Registration

- CRD: 289848
- Type: SEC-registered investment adviser
- SEC file number: 801-111744
- Location: 280 PARK AVENUE, 32ND FLOOR, NEW YORK, NY, 10017
- Phone: 646-794-8800
- Latest filing: 2026-07-21
- Regulatory AUM: $175.1M
- Discretionary AUM: $175.1M
- Clients: 1
- Accounts: 1

## Business model

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

## Officers, owners & control persons (13)

| Name | Role | Location |
| --- | --- | --- |
| [Lu Yin](https://search.stillhousedata.com/person/56547) | DIRECTOR | San Diego, CA |
| [Yin Lu](https://search.stillhousedata.com/person/134933) | DIRECTOR | Boston, MA |
| [Lanlan Zhang](https://search.stillhousedata.com/person/710175) | DIRECTOR | — |
| [Kyle K Lai](https://search.stillhousedata.com/person/710176) | DIRECTOR | — |
| [Yan Qin](https://search.stillhousedata.com/person/710177) | CHIEF COMPLIANCE OFFICER | — |
| [Lauren Sun](https://search.stillhousedata.com/person/710178) | 100% SHAREHOLDER | — |
| [HUANG LEI](https://search.stillhousedata.com/person/841350) | CHIEF COMPLIANCE OFFICER | — |
| [Xiaobin Yin NMN](https://search.stillhousedata.com/person/841351) | 100% SHAREHOLDER; 90% SHAREHOLDER | — |
| [ZHANG LANLAN](https://search.stillhousedata.com/person/841352) | DIRECTOR; MANAGING DIRECTOR | — |
| [Li Tong](https://search.stillhousedata.com/person/849119) | CHIEF COMPLIANCE OFFICER | — |
| [LAI DANIEL K](https://search.stillhousedata.com/person/870627) | DIRECTOR | — |
| [QIN YAN](https://search.stillhousedata.com/person/877936) | CHIEF COMPLIANCE OFFICER | — |
| [Sun Lauren](https://search.stillhousedata.com/person/877937) | 100% SHAREHOLDER | — |


## Disclosures (35)

_Showing 10 of 12 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-09-25 | regulatory | THE ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONG KONG AND ACCORDING TO ITS ANNUAL REPORT AVAILABLE TO THE PUBLIC ON MARCH 28, 2025 (THE REPORTING ADVISORY FIRM AND THE ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEV… | Final | $823K |
| 2023-11-10 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORTAVAILABLE TO THE PUBLIC ON MARCH 28, 2024 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN APOSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECURIT… | Final | — |
| 2023-09-27 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORTAVAILABLE TO THE PUBLIC ON MARCH 28, 2024 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN APOSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECURIT… | Final | — |
| 2023-01-30 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORTAVAILABLE TO THE PUBLIC ON MARCH 28, 2024 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN APOSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECURIT… | Final | — |
| 2022-11-22 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORT AVAILABLE TO THE PUBLIC ON APRIL 13, 2023 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECUR… | Final | — |
| 2022-08-09 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORT AVAILABLE TO THE PUBLIC ON APRIL 13, 2023 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECUR… | Final | — |
| 2022-06-02 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS SEMI-ANNUAL REPORT AVAILABLE TO THE PUBLIC ON SEPTEMBER 9, 2022 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVA… | Final | — |
| 2022-05-27 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS SEMI-ANNUAL REPORT AVAILABLE TO THE PUBLIC ON SEPTEMBER 9, 2022 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVA… | Final | — |
| 2021-12-24 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORT AVAILABLE TO THE PUBLIC ON APRIL 20, 2022 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECUR… | Final | — |
| 2021-11-03 | regulatory | ADVISORY AFFILIATE IS A PUBLICLY LISTED COMPANY IN HONGKONG AND ACCORDING TO ITS ANNUAL REPORT AVAILABLE TO THE PUBIC ON APRIL 20, 2022 (THE REPORTING ADVISORY FIRM AND ADVISORY AFFILIATE ARE NOT IN A POSITION TO SHARE ANY NON-PUBLIC INFORMATION IN ORDER TO AVOID ANY VIOLATION OF THE RELEVANT SECURI… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/289848/brochure
- Similar advisers: https://search.stillhousedata.com/firm/289848/similar
- Related entities: https://search.stillhousedata.com/firm/289848/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/289848

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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.