DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

B••••••••• A•••• M••••••••• P••• L•••

CRD 169999

SINGAPORE

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Search this name across graphsid dfx:ria:200f0234-c8b3-8e66-f72f-e4be33683c2b

Data as of May 17, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2014 to May 17, 2017
9 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: $81.0M••• Locked
Discretionary RAUM: $10.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•• B••••••••• E••••••• E••••••••• M••••• F•••	Other Private Fund	$10.1M	May 17, 2017	18	Mar 26, 2014	reported	n/a
T•• B••••••••• E••••••• V•••••• I••	Hedge Fund	$2.2M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S••• P••••	CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	09/2010	Mar 26, 2014	May 17, 2017
E••••• J•••• F••••••	Shareholder	E	yes	02/2003	Mar 26, 2014	May 17, 2017

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HO CHI MINH CITY	n/a	Vietnam	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Feb 27, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$81.0M	$73.7M	10.0%	n/a	n/a	9	10	n/a	n/a

Relationships

Advises (3)

→ T•• B••••••••• E••••••• E••••••••• M••••• F•••Private fundOther Private Fund, IA
Mar 26, 2014 to presentfactForm ADV
→ B••• 2•Private fundOther Private Fund, IA, no longer reported
Mar 26, 2014 to Mar 30, 2015factForm ADV
→ T•• B••••••••• E••••••• V•••••• I••Private fundHedge Fund, IA, no longer reported
Mar 26, 2014 to Mar 30, 2015factForm ADV

Controls (3)

Dated events

Occurred
Mar 26, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:200f0234-c8b3-8e66-f72f-e4be33683c2b
First observed: Mar 26, 2014
Last observed: May 17, 2017 113 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.