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DRAGON CAPITAL MANAGEMENT (HK) LIMITED

CENTRAL, Hong Kong · CRD 287890 · IAPD ↗ · dragoncapital.com · 85239798100

$168.3MRegulatory AUM
1Advisory reps
4Employees
0Clients
n/aPlanning clients
1Private funds
0States
7Disclosures
foreignSegment
ApprovedSEC status

Filing changes

20
July 2026 — DRAGON CAPITAL MANAGEMENT (HK) LIMITED's Item 11 disclosure-reporting entries rose by 7 (0 -> 7).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
35
April 2026 — DRAGON CAPITAL MANAGEMENT (HK) LIMITED now reports custody of client assets ($160.9M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian
40
April 2026 — DRAGON CAPITAL MANAGEMENT (HK) LIMITED reported RAUM up 76% ($95.8M -> $168.3M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
65
April 2025 — DRAGON CAPITAL MANAGEMENT (HK) LIMITED (CENTRAL, Hong Kong) is newly SEC-registered with $95.8M RAUM and 1 advisory reps.
Firm appears on the SEC roster for the first time (new RIA or state-to-SEC transition).
CRMComplianceCustodianFinancial planning softwarePortfolio / reporting / TAMPMarketing & brand

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