Data / Investment advisers / California / Guinness Atkinson Asset Management, Inc.
Guinness Atkinson Asset Management, Inc., Pasadena, CA: $344 million AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Guinness Atkinson Asset Management, Inc. is an SEC registered investment adviser with its main office in Pasadena, California and reports $344 million in regulatory assets under management in its Form ADV filed March 30, 2026. Its clients include investment companies. It is paid through a percentage of assets under management.
The request: Watch Guinness Atkinson Asset Management, Inc. (CRD number 124465): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
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- Registration
- SEC registered investment adviser
- CRD number
- 124465
- SEC file number
- 801-61667
- SEC status
- Approved, effective December 10, 2002
- Main office
- 251 South Lake Ave, Suite 800, Pasadena, CA 91101
- Phone
- (626) 628-2787
- Regulatory AUM
- $344,363,413 in the Form ADV filed March 30, 2026
- Discretionary AUM
- $344,363,413
- Accounts
- 12
- Employees
- 41, of which 24 give investment advice
- Form of organization
- Corporation
- Paid through
- a percentage of assets under management
- Other offices
- 1
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 30, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 1 | $344.4 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $344.4 million | March 30, 2026 |
| December 1, 2025 | $322 million | July 28, 2025 |
Other advisers in Pasadena
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Robert L. Bender, Inc. Dba Robert Bender & Associates | Pasadena | $510.9 million | Not listed | adviserinfo.sec.gov |
| Wimmer Associates LLC | Pasadena | $475.9 million | Not listed | adviserinfo.sec.gov |
| The Sterling Group | Pasadena | $471.3 million | Not listed | adviserinfo.sec.gov |
| First Wilshire Securities Management, Inc. | Pasadena | $415.5 million | 2 | adviserinfo.sec.gov |
| Kondo Wealth Advisors, Inc | Pasadena | $365.1 million | Not listed | adviserinfo.sec.gov |
| Arroyo Investment Group, LLC | Pasadena | $319.5 million | Not listed | adviserinfo.sec.gov |
| Trend Trade Pro, LLC | Pasadena | $298.3 million | Not listed | adviserinfo.sec.gov |
| CMR Capital Management, LLC | Pasadena | $275.1 million | 10 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in Pasadena, CA
- Investment advisers in California
- Advisers with $100 million to $500 million in AUM
- Advisers serving investment companies
- Guinness Atkinson Asset Management, Inc. on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.