Harvest Global Investments Limited
- Regulatory AUM
- $3.8B
- Discretionary
- $3.8B
- Clients
- 21
- Avg AUM / client
- $181M
- Accounts
- 26
- Employees
- 32
AUM over time
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 1 | $1.8B | 48.2% |
| Pooled investment vehicles (non-investment companies) | 10 | $275M | 7.24% |
| Other investment advisers | 2 | $476M | 12.5% |
| Corporations and other businesses | 8 | $1.2B | 32.1% |
People (7)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Jiang, Yiqian | Responsible Officer | Jun 2010 (16y) | Less than 5% | |
| Tong, Cheuk Fung, David | Chief Compliance Officer | May 2011 (15y) | Less than 5% | |
| Lu, Lingfei | Director | Jul 2018 (8y) | Less than 5% | |
| Shu, Chuying Kevin | Responsible Officer | Oct 2020 (6y) | Less than 5% | |
| Guo, Song | Director | May 2021 (5y) | Less than 5% | |
| Jing, Lei | Chairman & Director | Aug 2021 (5y) | Less than 5% | |
| Han, Tongli | Director/Ceo/Cio/Responsible Officer | Feb 2024 (3y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Harvest Financial Group Limited | Shareholder | Jul 2024 | A | 75% or more |
| Deutsche Bank Ag | Shareholder | Dec 2017 | B | ≈ 5.93% – 50% via Db Beteiligungs Holding Gmbh |
| Dws Group Gmbh & Co. Kgaa | Shareholder | Dec 2017 | B | ≈ 10.55% – 50% via Dws Investments Singapore Limited |
| Db Beteiligungs Holding Gmbh | Shareholder | Dec 2017 | B | ≈ 7.91% – 50% via Dws Group Gmbh & Co. Kgaa |
| Shanghai Sai Hong Enterprise Management Co., Ltd | Shareholder | Aug 2021 | B | ≈ 5.27% – 37.5% via Tong Yuan Holding Co., Ltd |
| Harvest Fund Management Co., Ltd | Shareholder | Jul 2024 | B | ≈ 56.25% – 100% via Harvest Financial Group Limited |
| Tong Yuan Holding Co., Ltd | Shareholder | Sep 2005 | B | ≈ 7.03% – 37.5% via Lixin Investment Co., Ltd |
| The People's Insurance Company (Group) Of China | Shareholder | Oct 2008 | B | ≈ 3.52% – 25% via China Credit Trust Co., Ltd |
| China Credit Trust Co., Ltd | Shareholder | Mar 1999 | B | ≈ 14.06% – 50% via Harvest Fund Management Co., Ltd |
| Lixin Investment Co., Ltd | Shareholder | Jan 2003 | B | ≈ 14.06% – 50% via Harvest Fund Management Co., Ltd |
| Dws Investments Singapore Limited | Shareholder | Jun 2005 | B | ≈ 14.06% – 50% via Harvest Fund Management Co., Ltd |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Deutsche Bank Ag: 75% – 100% of Db Beteiligungs Holding Gmbh × 75% – 100% of Dws Group Gmbh & Co. Kgaa × 75% – 100% of Dws Investments Singapore Limited × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 5.93% – 50% of the firm
- Dws Group Gmbh & Co. Kgaa: 75% – 100% of Dws Investments Singapore Limited × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 10.55% – 50% of the firm
- Db Beteiligungs Holding Gmbh: 75% – 100% of Dws Group Gmbh & Co. Kgaa × 75% – 100% of Dws Investments Singapore Limited × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 7.91% – 50% of the firm
- Shanghai Sai Hong Enterprise Management Co., Ltd: 75% – 100% of Tong Yuan Holding Co., Ltd × 50% – 75% of Lixin Investment Co., Ltd × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 5.27% – 37.5% of the firm
- Harvest Fund Management Co., Ltd: 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 56.25% – 100% of the firm
- Tong Yuan Holding Co., Ltd: 50% – 75% of Lixin Investment Co., Ltd × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 7.03% – 37.5% of the firm
- The People's Insurance Company (Group) Of China: 25% – 50% of China Credit Trust Co., Ltd × 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 3.52% – 25% of the firm
- China Credit Trust Co., Ltd: 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Lixin Investment Co., Ltd: 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 14.06% – 50% of the firm
- Dws Investments Singapore Limited: 25% – 50% of Harvest Fund Management Co., Ltd × 75% – 100% of Harvest Financial Group Limited × 75% – 100% direct ≈ 14.06% – 50% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.34 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: KD ALLEGES THAT HGI AND ITS PARENT, HFM SET UP (THROUGH THEIR AFFILIATE) A UNITED STATES ENTITY WITH KD IN ORDER TO MISAPPROPRIATE KD'S INTELLECTUAL PROPERTY REGARDING DISTRIBUTION OF MUTUAL FUNDS AND EXCHANGE TRADED FUNDS IN THE UNITED STATES AND CANADA. Status: Final Summary: THE CLAIMS MADE BY KRANE DISTRIBUTION WERE WITHOUT MERIT. THE PARTIES TO THE ACTION SETTLED THE MATTER AND KD DISMISSED ALL ACTIONS AGAINST HGI AND/OR HUSA AND HFM. THE PARTIES EXCHANGED MUTUAL RELEASES. KD ALSO RELINQUISHED ITS OWNERSHIP INTEREST IN HARVEST KRANE, LLC FOR THE SUM OF $400,000. THE OPERATING AGREEMENT WAS TERMINATED AND ALL KD'S REPRESENTATIVES RESIGNED FROM THE BOARD OF DIRECTORS. KD AGREED TO PROVIDE THE FOLLOWING APOLOGY TO HUSA AND HGI?. "[KRANE DISTRIBUTION LLC] APOLOGIZES FOR ANY RHETORIC IN ANY OF ITS SUBMISSIONS FILED IN THE DELAWARE ACTION, NEW YORK ACTION, OR HONG KONG ARBITRATION, THAT MAY HAVE CAST ASPERSIONS ON THE CHARACTER, HONOR, OR ETHICS OF [HARVEST FUND MANAGEMENT LIMITED, HARVEST GLOBAL INVESTMENTS LIMITED, AND HARVEST USA, INC.]
Allegations: THE CHINA SECURITIES REGULATORY COMMISSION (THE "CSRC") HAS IDENTIFIED THE FOLLOWING MAIN ISSUES IN RELATION TO THE COMPANY DURING AN EARLIER INDUSTRY EXAMINATION, MAINLY COVERING CERTAIN NON COMPLIANCE ISSUES IN RELATION TO THE MANAGEMENT ISSUES OF PORTFOLIO MANAGER'S APPOINTMENT AND AUTHORIZATION, INEFFECTIVE IMPLEMENTATION OF THE STAFF COMMUNICATION TOOLS POLICY AND CERTAIN DEFICIENCIES IN RELATION TO STAFF'S PERSONAL ACCOUNT DEALING POLICIES. Status: Final Sanction Detail: NOT APPLICABLE Summary: THE COMPANY HAS TAKEN THE FOLLOWING RECTIFICATION MEASURES AND HAS SUBMITTED WRITTEN REPORT OF THE SAME TO THE CSRC: 1.STRICTLY ENFORCE MANAGEMENT OF ACCESS RIGHTS RELATING TO INVESTMENT PERSONNEL AND STRENGTHEN INTERNAL CONTROLS CONCERNING APPROVAL OF ACCESS RIGHTS 2.STRENGTHEN MANAGEMENT POLICY OF STAFF COMMUNICATION TOOLS. INVESTMENT AND RESEARCH PERSONNEL ARE REQUIRED TO SURRENDER THEIR MOBILE PHONES AND KEEP THE SAME IN DESIGNATED LOCKED AREA. REGISTRATION IS REQUIRED FOR TEMPORARY COLLECTION OF MOBILE PHONE. REGULAR SURVEILLANCE IN THIS CONNECTION HAS ALSO BEEN STRENGTHENED. 3.ENHANCE THE STAFF PERSONAL ACCOUNT DEALING POLICIES WITH TOUGHER PUNITIVE MEASURES. FURTHER STRENGTHEN MANAGEMENT OF STAFF PERSONAL ACCOUNT DEALING 4.ENHANCE STAFF PERSONAL ACCOUNT DEALING DECLARATION'S REQUIREMENTS IN RELATION TO COMPLETE COVERAGE OF THE STAFF MEMBERS' RELATIVES. STRENGTHEN POST-EVENT REVIEW IN RELATION TO THE OPENING OF STAFF PERSONAL ACCOUNTS.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- BNY Mellon $1.8B (53% of AUM) Dec 2024
- State Street $394M (10% of AUM) Mar 2026
- Citibank $271M (9% of AUM) Apr 2018
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports it does not have custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗