Ki Hin Lai

$3.84B regulatory AUM

Reported services (Item 5G)

Portfolio management (pooled vehicles)
Portfolio management (institutions)
Selection of other advisers
PROVIDE ASSET ALLOC RECOMMENDATIONS & BASED UPON SUCH RECOMMENDATIONS 3RD PARTY ADV TO MANAGE ASSETS PURSUANT TO CLIENT APPROVAL

From the firm’s Form ADV. Read the guides:

66 Husdson Boulevard East, New York, NY 10001 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2026-03-27
ND	RA	APPROVED	2026-03-06
GA	RA	APPROVED	2026-03-03
NE	RA	APPROVED	2026-03-02
NM	RA	APPROVED	2026-03-02
VI	RA	APPROVED	2026-03-02
AL	RA	APPROVED	2026-02-27
AK	RA	APPROVED	2026-02-27
IA	RA	APPROVED	2026-02-27
KS	RA	APPROVED	2026-02-27
LA	RA	APPROVED	2026-02-27
ME	RA	APPROVED	2026-02-27
MD	RA	APPROVED	2026-02-27
MN	RA	APPROVED	2026-02-27
MT	RA	APPROVED	2026-02-27
NC	RA	APPROVED	2026-02-27
PR	RA	APPROVED	2026-02-27
TX	RA	APPROVED	2026-02-27
DE	RA	APPROVED	2025-10-22
UT	RA	APPROVED	2025-10-22
CA	RA	APPROVED	2024-12-17

Branch Locations

One Embarcadero Center 34Th Floor, San Francisco, CA 94111 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Hsbc Bank Usa National Association	San Francisco	CA	06/2022	Present
Hsbc Securities (Usa) Inc.	San Francisco	CA	10/2024	Present
Hongkong & Shanghai Banking Co	Hong Kong		02/2020	06/2022
Kpmg Tax Services Limited	Central		09/2014	11/2019
Deloitte	Admiralty		12/2019	12/2019

Code	Exam	Date
S66	Uniform Combined State Law Examination	2024-12-16