DFX Intelligence

Data Factory

A•• A•••• M••••••••• I••••••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•• A•••• M••••••••• I••••••••• L••••••

CRD 159987

SINGAPORE

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:017b04aa-7840-317c-8d8d-0a47d6b4cba3

Data as of Mar 27, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 13, 2012 to Mar 27, 2020
17 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• S•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2016	Jan 6, 2016	Mar 27, 2020
L•• L•• F•••• N••	CHIEF OPERATING OFFICER	Na	yes	05/2010	Feb 13, 2012	Mar 27, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•• A•••• M••••••••• P•• L••	n/a	Institutional manager	$2.2B	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Singapore	n/a	Singapore	21	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$0	$557M	-100.0%	$754M	n/a	3	3	1	1

Relationships

Affiliated with (1)

→ A•• A•••• M••••••••• P•• L••Registered adviserother investment adviser, bank
factForm ADV

Controls (6)

← L•• L•• F•••• N••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Feb 13, 2012 to presentfactForm ADV
← W•••• K•••••••• N••OwnerDIRECTOR/SHAREHOLDER, ownership code C, individual
Feb 13, 2012 to presentfactForm ADV
← W•••• L•• E••• N••OwnerDIRECTOR/SHAREHOLDER, ownership code C, individual

Dated events

Occurred
Mar 27, 2020
Regulatory AUM changed
A•• A•••• M••••••••• I••••••••• L•••••• reported RAUM $0, down 100% from $557.1M (2019-03-28 to 2020-03-27)
Form ADVobserved 7 days ago
$-557M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:017b04aa-7840-317c-8d8d-0a47d6b4cba3
First observed: Feb 13, 2012
Last observed: Mar 27, 2020 79 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.