Overlook Investments Limited (Hong Kong)

Name: Overlook Investments Limited
Address: 22/F Ruttonjee House, Hong Kong
Telephone: 852-2912-0805

Overlook Investments Limited is an adviser based in Hong Kong. It manages $4.73 billion of regulatory assets for 2 client accounts. It has been registered with the SEC as an adviser since 2006.

Overlook Investments Limited provides portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Overlook Investments Limited: assets under management

The assets under management (AUM) of Overlook Investments Limited is $4.73 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 1012% since the beginning of its operation, and $4.73 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $4.73 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $2.36 billion each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Overlook Investments Limited for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Jr. Richard Hurd Lawrence serves?

The only and largest group of clients of Jr. Richard Hurd Lawrence is pooled investment vehicles with 2 clients and $4.73 billion of assets under management. Among the 13 most similar advisory firms, Overlook Investments Limited has the 4th highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $4.73 billion for 2 clients. 100% of the firm’s clients are foreign persons or businesses.

Overlook Investments Limited also advises several private funds.

Careers at Overlook Investments Limited

The company employs 12 people that are either part- or full-time employees. 67 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Jr. Richard Hurd Lawrence has been acting as President since 1 Dec 1991. James St. John Squire has served as the Chief Investment Officer since 1 Jan 2012. Alan Morgan joined the executive team most recently as the Chief Operating Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Jr. Richard Hurd Lawrence	Chairman	1 Dec 1991	Other	5059836
Dee Macleod Lawrence	Director	1 Dec 1991	Other	5059837
Jr. Richard Hurd Lawrence	Trustee of the richard hurd lawrence, jr. separate property trust u/t/a dtd june 13,2002	1 Jan 2003	75% - 100%	xxx-xx-xxxx
Jr. Separate Property Trust U/T/A Dtd June 13 2002 Richard Hurd Lawrence	Shareholder	1 Jan 2003	75% - 100%	xxx-xx-xxxx
Terence Tai Yin Chan	Chief compliance officer	1 Nov 2005	Other	5081288
Michael John Lonergan	Chief compliance officer	1 Nov 2005	Other	5081288
Michael John Lonergan	Chief compliance officer	1 Apr 2006	Other	5081288
Michael John Lonergan	Director, chief executive officer and chief compliance officer	1 Oct 2010	Other	5081288
Overlook Holdings Limited	Shareholder	1 Jan 2012	75% - 100%	98-1031622
James St. John Squire	Chief investment officer	1 Jan 2012	Other	6175830
Leonie Foong	Director investments	1 Oct 2015	Other	3271529
Leonie Foong	Partner	1 Dec 2017	Other	3271529
Alan Morgan	Chief operating officer	1 Mar 2018	Other	6974377

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Jr Richard Hurd Lawrence	Trustee	1 Jun 2002	Other	5059836
Dee Macleod Lawrence	Trustee	1 Jan 2003	Other	5059837
Separate Property Trust U/T/A Dated June 6 2002 The Richard H. Lawrence Jr.	Shareholder	1 Jan 2012	75% - 100%	xxx-xx-xxxx
Separate Property Trust U/T/A Dated June 6 2002 The Richard H. Lawrence Jr.	Shareholder	1 Jan 2014	50% - 75%	xxx-xx-xxxx

Based in Hong Kong

The principal office where Overlook Investments Limited performs its advisory services is located at 22/F Ruttonjee House, Hong Kong, , which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 852-2912-0805 or by fax 852-2521-2227. The normal business hours are 0900-1730 on Monday - Friday. You can find more information about the New York firm at overlookinv.com.