CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC

other names
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Adviser Profile
As of Date 05/02/2024
Adviser Type - Large advisory firm
Number of Employees 1 -50.00%
of those in investment advisory functions 1 -50.00%
Registration SEC, Approved, 09/25/2017
AUM* 172,667,341 16.40%
of that, discretionary 172,667,341 16.40%
Private Fund GAV* 172,667,341 3.01%
Avg Account Size 172,667,341 16.40%
SMA’s No
Private Funds 1
Contact Info 646 xxxxxxx

Client Types

- Pooled investment vehicles

Advisory Activities

- Portfolio management for pooled investment vehicles

Compensation Arrangments

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

Recent News

Reported AUM

Discretionary
Non-discretionary
150M 129M 107M 86M 64M 43M 21M
2017 2018 2019 2020 2021 2022 2023

Private Funds



Employees

Private Funds Structure

Fund Type Count GAV
Fund TypePrivate Equity Fund Count1 GAV$172,667,341

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Brochure Summary

Overview

a) Background CICC ALPHA INVESTMENT MANAGEMENT (USA), LLC was founded in June 2017. CICC ALPHA is wholly owned by CICC ALPHA INVESTMENT Group Limited (Cayman). b) Advisory Services and Principal Investment Strategies CICC ALPHA provides investment advisory services specializing in the management of pooled private investment vehicles to a private equity fund, the Golden Road Capital Fund L.P., on a fully discretionary basis (the “Fund”). The Fund is organized as a limited partnership. In November 2017, CICC ALPHA entered into a Sub-Advisory agreement with NB Alternatives Advisers LLC (a subsidiary of Neuberger Berman Group LLC) to advise the Fund. CICC ALPHA seeks to achieve attractive risk- adjusted returns by investing predominantly in direct private equity investments alongside leading private equity sponsors. The Firm will seek to build an appropriately diversified portfolio of high-quality direct private equity investments primarily in North America and Europe. The Firm will focus its investments primarily on buyout transactions, and may opportunistically take advantage of special situations, growth capital, venture, and credit investment opportunities. The Firm intends to be diversified across industry sectors. It intends to take a minority position in each investment. CICC ALPHA will also seek to invest opportunistically
in a variety of mid-life situations, such as add-on acquisitions, recapitalizations, and partial divestitures of existing portfolio companies of lead private equity firms. The Firm believes that these transactions typically benefit from attractive buy-in valuations from a lack of a control premium. c) Tailored Advice and Client-Imposed Restrictions The Fund has its own investment objectives, strategies and restrictions. CICC ALPHA prepares offering materials with respect to the Fund that contain more detailed information. These serve as a limitation on the actions of CICC ALPHA’s investment team with regard to the Fund. Unless otherwise specified, the Fund is not necessarily tailored to meet the individualized investment needs of any particular investor (“Investor”) or client (“Client”). An investment in the Fund does not create a client- adviser relationship between CICC ALPHA and an Investor. Further discussion of the strategies, investments and risks associated with the Fund investment is included in the relevant materials for each type of Investor. d) Wrap Fee Disclosure Not applicable. e) Assets Under Management As of September 30, 2023, CICC ALPHA had regulatory assets under management of approximately $ 172,667,341, all of which was managed on a discretionary basis. 6 | P a g e