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CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC

NEW YORK, NY · CRD 289848 · IAPD ↗ · 646-794-8800

$175.1MRegulatory AUM
1Advisory reps
1Employees
0Clients
n/aPlanning clients
1Private funds
1States
12Disclosures
fundSegment
ApprovedSEC status

Filing changes

35
July 2025 — CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC's Item 11 disclosure-reporting entries rose by 1 (11 -> 12).
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 2024 — CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC's Item 11 disclosure-reporting entries rose by 3 (8 -> 11).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
50
February 2024 — CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC now reports custody of client assets ($334.0M).
Firm now reports custody of client assets — surprise exams and controls follow.
ComplianceCustodian

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