9AT: NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED

other names

NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED

Adviser Profile

As of Date	03/23/2026
ADV Location	HONG KONG, Hong Kong
Adviser Type - Large advisory firm - Outside the United States
Number of Employees	19 138%
of those in investment advisory functions	6 -14%
Registration	SEC, Approved, 03/08/2010

AUM^*	1,528,586,000 1%
of that, discretionary	1,528,586,000 1%
Private Fund GAV^*	1,425,529,000 3%
Avg Account Size	382,146,500 26%
SMA’s	Yes
Private Funds	3
Contact Info	008 xxxxxxx
Websites

Client Types

- Pooled investment vehicles
- Other

Advisory Activities

- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Performance-based fees

Fund Type	Count	GAV
Fund TypeHedge Fund	Count3	GAV$1,425,529,000

Adviser	Hedge Fund	Liquidity Fund	Private Equity Fund	Real Estate Fund	Securitized Asset Fund	Venture Capital Fund	Other Fund	Total Private Fund GAV	AUM	#Funds
Adviser DUALITY GROUP	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.4b	#Funds-
Adviser PATIENT CAPITAL MANAGEMENT, LLC	Hedge Fund207.2m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV207.2m	AUM2.5b	#Funds1
Adviser CLEAR SKY ADVISERS, LLC	Hedge Fund466.6m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV466.6m	AUM466.6m	#Funds10
Adviser AQUATIC CAPITAL MANAGEMENT LLC	Hedge Fund7.2b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV7.2b	AUM5.4b	#Funds4
Adviser DARK FOREST CAPITAL MANAGEMENT LP	Hedge Fund2.4b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV2.4b	AUM2.4b	#Funds3
Adviser EAGLE GLOBAL ADVISORS LLC	Hedge Fund421.4m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV421.4m	AUM3.1b	#Funds3
Adviser PUNCH & ASSOCIATES INVESTMENT MANAGEMENT, INC.	Hedge Fund386.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV386.5m	AUM2.0b	#Funds2
Adviser CONTEXT CAPITAL MANAGEMENT LLC	Hedge Fund4.0b	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV4.0b	AUM8.0b	#Funds3
Adviser GABELLI & COMPANY INVESTMENT ADVISERS, INC.	Hedge Fund770.5m	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV770.5m	AUM1.5b	#Funds10
Adviser ZEAL ASSET MANAGEMENT LIMITED	Hedge Fund-	Liquidity Fund-	Private Equity Fund-	Real Estate Fund-	Securitized Asset Fund-	Venture Capital Fund-	Other Fund-	Total Private Fund GAV-	AUM1.2b	#Funds-

Brochure Summary

Overview

A. General Description of Advisory Firm. The Adviser is an investment adviser with its principal place of business in Hong Kong. The Adviser was incorporated with limited liability in Hong Kong on 17 June 2008. The major shareholders are George Philips and David Rogers (both more than 25%), who co- founded Northwest Investment Management Limited (the “Original Northwest Business”) in 1998, drawing on their experience in managing equity derivative portfolios. Mr. Philips and Mr. Rogers have been continuously responsible for the investment management of the Northwest range of funds since 1998. The first fund managed by the Original Northwest Business was a convertible arbitrage product designed to extract the pricing inefficiencies that existed in the global convertible market at that time. In 2001, the Original Northwest Business re-introduced a technique developed by Messrs Philips and Rogers in the early 1990s known as “multivariate arbitrage” and the Fund was launched to take advantage of the improved opportunities that this technique provides. In 2002, it was decided to focus more on Asian markets where both principals have significant experience, trading through the economic crash in Japan, the Asian contagion, and the Kobe earthquake. In September 2006, the Original Northwest Business was sold to RAB Capital plc (“RAB”) and, in April 2009, RAB sold the

Northwest business to Northwest Investment Management Limited, a limited company incorporated in England on 21 October 2008 (“Northwest UK”), of which Messrs Philips and Rogers are the majority shareholders. Northwest UK transferred the investment management of the Northwest Funds to the Adviser on 11 August 2009. The Adviser currently employs a team of staff of 22 in Hong Kong and the USA. B. Description of Advisory Services. The Adviser is licensed by the Hong Kong Securities and Futures Commission to carry on Type 9 (asset management) regulated activity. The Adviser provides advisory services on a discretionary basis to its clients, which include four private investment funds (pooled investment vehicles) intended for sophisticated investors and one separately managed account. C. Availability of Tailored Services for Individual Clients. The Adviser provides advice to client accounts based on specific investment objectives and strategies. Under certain circumstances, the Adviser may agree to tailor advisory services to the individual needs of clients. Clients may impose restrictions on investing in certain securities or certain types of securities. D. Client Assets Under Management. As of 31 December 2023, the Adviser had approximately $1,443 million client assets under management. As of that date, all are managed on a discretionary basis.

NORTHWEST INVESTMENT MANAGEMENT (HONG KONG) LIMITED

Adviser Profile

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