Investment adviser · CRD 268816

CATHAY CAPITAL NA, LLC

Investment adviser filing (IA)

NEW YORK, NY, United States · Form ADV filed Mar 27, 2026

Regulatory AUM: $76.6M
Client accounts: 6
Employees: 6
Advisory professionals: 4

Who they report serving

Form ADV · Item 5.D

Client types and their share of reported regulatory assets.

Client type	Clients	Regulatory assets	Share of AUM
Pooled investment vehicles	6	$76,611,428	100.0%

Filing source

Form ADV 2079983 · Mar 27, 2026 · Item 5.D

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Private funds & service providers

6 Private funds

The count excludes feeder funds. Funds in the latest filing appear first, ordered by reported gross assets. Earlier funds retain their last reported values.

CCNAS FUND B CV, LPPrivate Equity Fund · Last reported Mar 27, 2026$36.6MGross asset value

Fund administrator FTS FUND SERVICES LLC (A SUBSIDIARY OF APEX GROUP LTD.) NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP GRAND CAYMAN, Cayman Islands

Custodian JP MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-3960426860
Reported beneficial owners: 5
Minimum commitment: $0
Form D file number: 021-536899
Form D file number: 021-536906

Form ADV 2079983 · Mar 27, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CCNAS FUND A CV, LPPrivate Equity Fund · Last reported Mar 27, 2026$19.8MGross asset value

Fund administrator FTS FUND SERVICES LLC (A SUBSIDIARY OF APEX GROUP LTD.) NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP GRAND CAYMAN, Cayman Islands

Custodian JP MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-2420511754
Reported beneficial owners: 6
Minimum commitment: $0
Form D file number: 021-536899
Form D file number: 021-536906

Form ADV 2079983 · Mar 27, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CATHAY MORPHEUS, LPPrivate Equity Fund · Last reported Mar 27, 2026$6.57MGross asset value

Fund administrator FARKOUH, FURMAN & FACCIO NEW YORK, New York, United States Investor statements: No (provided to no investors) Related to adviser: No

Auditor WEAVER AND TIDWELL, LLP NEW YORK, New York, United States

Custodian JP MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

WEAVER AND TIDWELL, LLP
PCAOB 410

Fund details & source

Fund ID: 805-3262000806
Reported beneficial owners: 7
Minimum commitment: $0

Form ADV 2079983 · Mar 27, 2026 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (COLLECTOR), LPPrivate Equity Fund · Last reported Mar 19, 2025$92.6MGross asset value

Feeder funds

Fund administrator FTS FUND SERVICES LLC (A SUBSIDIARY OF APEX GROUP LTD.) NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG LLP GRAND CAYMAN, Cayman Islands

Custodian JP MORGAN CHASE NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: No

KPMG LLP
PCAOB 185

Fund details & source

Fund ID: 805-3263416286
Reported beneficial owners: 30
Minimum commitment: $0
Form D file number: 021-247116
Form D file number: 021-247122

Form ADV 1950369 · Mar 19, 2025 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (B) LPPrivate Equity Fund · Last reported Nov 23, 2015$84.9MGross asset value

Form D fundraising filings

Cathay Capital North American-Sino Fund (B), LP

Fund administrator SS&C NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Marketer SAGENT ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

SAGENT ADVISORS, LLC
CRD 129919 · SEC 8-66273

Fund details & source

Fund ID: 805-6190082243
Reported beneficial owners: 16
Minimum commitment: $0
Form D file number: 021-247122

Form ADV 958079 · Nov 23, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

CATHAY CAPITAL NORTH AMERICAN-SINO FUND (A) LPPrivate Equity Fund · Last reported Nov 23, 2015$4.38MGross asset value

Form D fundraising filings

Cathay Capital North American-Sino Fund (A), LP

Fund administrator SS&C NEW YORK, New York, United States Investor statements: Yes (provided to all investors) Related to adviser: No

Auditor KPMG BOSTON, Massachusetts, United States

Custodian FIRST REPUBLIC BANK NEW YORK, New York, United States Related to adviser: No

Marketer SAGENT ADVISORS, LLC NEW YORK, New York, United States Related to adviser: No

Provider details

Annual audit: Yes
Prime brokers: No
Custodians: Yes
Administrator other than the adviser: Yes
External marketing: Yes

SAGENT ADVISORS, LLC
CRD 129919 · SEC 8-66273

Fund details & source

Fund ID: 805-9657529397
Reported beneficial owners: 6
Minimum commitment: $0
Form D file number: 021-247116

Form ADV 958079 · Nov 23, 2015 · Schedule D 7.B.(1)

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

Services & filing details

Most recent filing: Mar 27, 2026. View historical filings

Reported services

Pooled investment vehicle management

Compensation

Percentage of assets · Performance-based

Principal office

150 E. 52ND STREET, SUITE 20001
NEW YORK, NY, 10022, United States

CRD 268816

Filing source

Form ADV 2079983 · Mar 27, 2026 · Items 1 & 5

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.