GUINNESS ATKINSON ASSET MANAGEMENT INC

HTTP://WWW.HUMANPROGRESS.COM/ PASADENA, CA Investment Advisor How do I update this listing?

Guinness Atkinson Asset Management is based out of Pasadena. Guinness Atkinson Asset Management is a large advisory firm with 1 clients and discretionary assets under management (AUM) of $283,206,567 (Form ADV from 2020-03-12). Their last reported 13F filing for Q2 2020 included $154,727,000 in managed 13F securities and a top 10 holdings concentration of 40.96%. Guinness Atkinson Asset Management's largest holding is New Oriental Education & Tech Group Inc ADR with shares held of 56,220. Whalewisdom has at least 53 13F filings

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06/30/2020

13F Activity

  • Market Value $154.727 Million
  • Prior Market Value $126.266 Million
  • New Purchases2 stocks
  • Additional Purchases26 stocks
  • Sold out of0 stocks
  • Reduced holdings in14 stocks
  • Top 10 Holdings % 40.96 %
  • Turnover % [1]:2.47%
  • Turnover Alt % [2]: 4.97 %
  • Time Held Top20:11.50 quarters
  • Time Held Top10:4.40 quarters
  • Time Held All:15.54 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

06/30/2020

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2020-08-14

Performance for Q2 2020: 21.0%
Performance Last 4 Quarters: 0.0%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted

View Last Form Adv Compilation Report on Record

GUINNESS ATKINSON ASSET MANAGEMENT, INC.
225 SOUTH LAKE AVE, SUITE 216
PASADENA CA    91101
Country: United States

Business Phone: 626 628-2787
Fax:
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Corporation
Organized in: DE
Number of employees: 15
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management
Amount of client funds and securities:
Total Number of Clients: 1
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures: 11.A (1).,11.A (2)
Data above was derived from SEC filings.

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GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2020-03-12
Name Title Start Date Direct/Indirect % Ownership

GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2019-10-31
Name Title Start Date Direct/Indirect % Ownership
ATKINSON, JAMES, JOSEPH CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC CHIEF EXECUTIVE OFFICER direct 2002-11-01
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) direct 2002-11-01
GUINNESS, TIMOTHY, WHITMORE NEWTON CHAIRMAN, CHIEF INVESTMENT OFFICER 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHAIRMAN, CHIEF INVESTMENT OFFICER direct 2002-11-01
INVESTEC ASSET MANAGEMENT US LTD. CHAIRMAN,DIRECTOR direct 1992-04-01 2002-03-18
HARRISS, EDMUND DIRECTOR 04/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC DIRECTOR direct 2003-04-01
ROBINETTE, GILES, ANDREW DAVID CHIEF FINANCIAL OFFICER 10/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2005-10-01

GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2019-09-17
Name Title Start Date Direct/Indirect % Ownership
ATKINSON, JAMES, JOSEPH CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC CHIEF EXECUTIVE OFFICER direct 2002-11-01
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) direct 2002-11-01
GUINNESS, TIMOTHY, WHITMORE NEWTON CHAIRMAN, CHIEF INVESTMENT OFFICER 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHAIRMAN, CHIEF INVESTMENT OFFICER direct 2002-11-01
INVESTEC ASSET MANAGEMENT US LTD. CHAIRMAN,DIRECTOR direct 1992-04-01 2002-03-18
HARRISS, EDMUND DIRECTOR 04/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC DIRECTOR direct 2003-04-01
ROBINETTE, GILES, ANDREW DAVID CHIEF FINANCIAL OFFICER 10/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2005-10-01

GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2019-03-07
Name Title Start Date Direct/Indirect % Ownership
ATKINSON, JAMES, JOSEPH CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC CHIEF EXECUTIVE OFFICER direct 2002-11-01
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) direct 2002-11-01
GUINNESS, TIMOTHY, WHITMORE NEWTON CHAIRMAN, CHIEF INVESTMENT OFFICER 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHAIRMAN, CHIEF INVESTMENT OFFICER direct 2002-11-01
INVESTEC ASSET MANAGEMENT US LTD. CHAIRMAN,DIRECTOR direct 1992-04-01 2002-03-18
HARRISS, EDMUND DIRECTOR 04/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC DIRECTOR direct 2003-04-01
ROBINETTE, GILES, ANDREW DAVID CHIEF FINANCIAL OFFICER 10/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2005-10-01

GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2018-12-04
Name Title Start Date Direct/Indirect % Ownership
ATKINSON, JAMES, JOSEPH CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC CHIEF EXECUTIVE OFFICER direct 2002-11-01
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) direct 2002-11-01
GUINNESS, TIMOTHY, WHITMORE NEWTON CHAIRMAN, CHIEF INVESTMENT OFFICER 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHAIRMAN, CHIEF INVESTMENT OFFICER direct 2002-11-01
INVESTEC ASSET MANAGEMENT US LTD. CHAIRMAN,DIRECTOR direct 1992-04-01 2002-03-18
HARRISS, EDMUND DIRECTOR 04/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC DIRECTOR direct 2003-04-01
ROBINETTE, GILES, ANDREW DAVID CHIEF FINANCIAL OFFICER 10/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2005-10-01

GUINNESS ATKINSON ASSET MANAGEMENT, INC.

ownership team - last updated 2018-05-09
Name Title Start Date Direct/Indirect % Ownership
ATKINSON, JAMES, JOSEPH CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC CHIEF EXECUTIVE OFFICER direct 2002-11-01
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER (10/2004) direct 2002-11-01
GUINNESS, TIMOTHY, WHITMORE NEWTON CHAIRMAN, CHIEF INVESTMENT OFFICER 11/01/2002 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHAIRMAN, CHIEF INVESTMENT OFFICER direct 2002-11-01
INVESTEC ASSET MANAGEMENT US LTD. CHAIRMAN,DIRECTOR direct 1992-04-01 2002-03-18
HARRISS, EDMUND DIRECTOR 04/01/2003 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT,LLC DIRECTOR direct 2003-04-01
ROBINETTE, GILES, ANDREW DAVID CHIEF FINANCIAL OFFICER 10/01/2005 Direct less than 5%
Fund Name Position direct/indirect start date end date
GUINNESS ATKINSON ASSET MANAGEMENT, INC. CHIEF FINANCIAL OFFICER direct 2005-10-01

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