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GUINNESS ATKINSON ASSET MANAGEMENT, INC.
CRD 124465File 801-61667
APPROVED
Filing as of Mar 30, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$344.4M
Below cohort median (national)
Discretionary AUM
$344.4M
Clients
1
12 accounts
Employees
41
Below cohort median in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Dec 10, 2002
- Principal office
- 251 SOUTH LAKE AVE, SUITE 800, PASADENA, CA, 91101
- Phone
- 626 628-2787
- Website
- HTTP://WWW.GAFUNDS.COM
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $344.4M
- Discretionary AUM
- $344.4M
- Non-discretionary AUM
- $0
- Discretionary accounts
- 12
- Non-discretionary accounts
- 0
- Total accounts
- 12
- AUM per client
- $344.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 1 | $344.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for investment companies
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 24 | 41 | increased by17 |
| Apr 1, 2026 | AUM | $321,994,234 | $344,363,413 | increased by$22,369,179 |
| Apr 1, 2026 | Accounts | 9 | 12 | increased by3 |
| Jan 1, 2026 | Disclosures | Yes | No | |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 24 | increased by9 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $363,357,419 | $321,994,234 | decreased by$41,363,185 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 11 | 9 | decreased by2 |
| Apr 1, 2022 | AUM | $410,587,049 | $363,357,419 | decreased by$47,229,630 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “GUINNESS ATKINSON” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“GUINNESS ATKINSON” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.