Dik Yui Chow

$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	2025-11-10
ND	RA	APPROVED	2025-10-22
NJ	RA	APPROVED	2025-10-16
GA	RA	APPROVED	2025-10-15
NM	RA	APPROVED	2025-10-15
VI	RA	APPROVED	2025-10-15
AL	RA	APPROVED	2025-10-14
AK	RA	APPROVED	2025-10-14
DE	RA	APPROVED	2025-10-14
IA	RA	APPROVED	2025-10-14
KS	RA	APPROVED	2025-10-14
LA	RA	APPROVED	2025-10-14
ME	RA	APPROVED	2025-10-14
MD	RA	APPROVED	2025-10-14
MN	RA	APPROVED	2025-10-14
MT	RA	APPROVED	2025-10-14
NE	RA	APPROVED	2025-10-14
NC	RA	APPROVED	2025-10-14
PR	RA	APPROVED	2025-10-14
TX	RA	APPROVED	2025-10-14
UT	RA	APPROVED	2025-10-14
NY	RA	APPROVED	2025-10-06

Branch Locations

66 Hudson Boulevard 29Th Floor, New York, NY 10001 • United States

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

Organization	City	State	From	To
Hsbc Securities (Usa) Inc	New York	NY	09/2025	Present
Hsbc Bank Usa, N.A	New York	NY	08/2025	Present
Hsbc Asset Management	Central		03/2016	08/2025

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-10-12