Cathay Capital Na, LLC
Cathay Capital Na, LLC is a fee-only, SEC-registered investment adviser in New York, New York, registered with the SEC since 2015, managing approximately $77M. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.
Source: SEC Form ADV · CRD #268816 · SEC #801-104468 · SEC-registered since 2015 (11 yrs) · Last filing data January 1, 2026
- AUM
- $77M
- Fee model
- Fee-only
- Clients
- 1
- Employees
- 6
as of 2026
per Form ADV 5.E
Form ADV 5.C — may be institutional
4 advisers
Assets per adviser
$19Mper adviser
A scale-normalized measure that lets you compare large and small firms. The typical firm in our directory manages about $102M per adviser — this firm is more adviser-heavy (fewer assets per adviser).
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Overview
AI-generated summary
Cathay Capital Na, LLC is a fee-only, SEC-registered investment adviser based in New York, New York. It reported approximately $77M in regulatory assets under management on its most recent Form ADV. The firm reported no disclosures on its most recent Form ADV filing.
This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.
Firm details
- CRD #
- 268816
- SEC #
- 801-104468
- Headquarters
- New York, NY
- Employees
- 6
Clients served
Client types not reported on this filing.
Fees & compensation
- Compensation model: Fee-only — the firm reports being paid by clients (e.g. a percentage of assets) and not through commissions.
- Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
- Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
- Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.
Assets under management
| Year | Reported AUM |
|---|---|
| 2026 | $77M |
Reflects the most recent Form ADV filing. Multi-year history is added as additional historical filings are ingested.
Disclosures
Cathay Capital Na, LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.
Frequently asked questions
Is Cathay Capital Na, LLC a fiduciary?+
Yes. Cathay Capital Na, LLC is an SEC-registered investment adviser (CRD #268816), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.
How is Cathay Capital Na, LLC compensated?+
Cathay Capital Na, LLC reports a fee-only compensation model on its Form ADV. Fee-only advisers are paid by their clients (for example, a percentage of assets managed) and do not earn commissions. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.
How much money does Cathay Capital Na, LLC manage?+
Cathay Capital Na, LLC reported approximately $77M in regulatory assets under management as of its most recent Form ADV filing.
Does Cathay Capital Na, LLC have any disclosures?+
Cathay Capital Na, LLC reported no disclosures on its most recent Form ADV (Item 11). Always confirm the current record on the SEC IAPD site.
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This profile is generated from publicly available SEC filings. Cathay Capital Na, LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.