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CATHAY CAPITAL NA, LLC

NEW YORK, NY · CRD 268816 · IAPD ↗ · cathaycapital.com · 212-858-9020

$76.6MRegulatory AUM
4Advisory reps
6Employees
1Clients
n/aPlanning clients
3Private funds
0States
0Disclosures
fundSegment
ApprovedSEC status

Filing changes

30
January 2026 — CATHAY CAPITAL NA, LLC reported RAUM down 35% ($104.8M -> $68.5M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
35
April 2025 — CATHAY CAPITAL NA, LLC shrank from 6 to 4 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.