DFX Intelligence

L• F•••••••• F•••• S••••••••• 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 100m 1b

L• F•••••••• F•••• S••••••••• L••••••

CRD 150818

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:108a1849-9b87-eb33-f10a-6d7b7e42275f

Data as of Jun 22, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Dec 20, 2011 to Jun 22, 2020
16 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: $121M••• Locked
Discretionary RAUM: $121M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• P••••••• G•••••••	Director	Na	yes	08/2016	Aug 9, 2016	Jun 22, 2020
C•••••• N••••• P••••••	CHIEF LEGAL OFFICER + CHIEF COMPLIANCE OFFICER	Na	yes	08/2016	Aug 9, 2016	Jun 22, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• F••••••• D• C••••• M••••• N••• E•••••	n/a	n/a	n/a	Y	no	n/a
G••••• L• F••••••••	n/a	n/a	n/a	Y	yes	n/a
L• F•••••••• A•••• M•••••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	2	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	$121M	$138M	-12.6%	$116M	1.2%	7	7	1	1

Relationships

Controls (4)

← A••••••• P••••••• G•••••••OwnerDIRECTOR, ownership code NA, individual
Aug 9, 2016 to presentfactForm ADV
← L••••••• P•••••••• G•• J•••••••••OwnerDIRECTOR, ownership code NA, individual
Aug 9, 2016 to presentfactForm ADV
← C•••••• N••••• P••••••OwnerCHIEF LEGAL OFFICER + CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 9, 2016 to presentfactForm ADV
← G••••• L• F••••••••OwnerDIRECT OWNER, ownership code E, foreign entity
Aug 9, 2016 to presentfact

Dated events

Occurred
Jun 22, 2020
Control person left
Andonegui Jana Sehnalova (Managing Director) no longer on Schedule A of L• F•••••••• F•••• S••••••••• L•••••• (listed 2020-03-29, absent 2020-06-22)
Form ADVobserved 7 days ago
Occurred
Apr 23, 2019
Control person left
Pierre Lasserre (Director) no longer on Schedule A of L• F•••••••• F•••• S••••••••• L•••••• (listed 2019-03-29, absent 2019-04-23)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:108a1849-9b87-eb33-f10a-6d7b7e42275f
First observed: Dec 20, 2011
Last observed: Jun 22, 2020 76 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.