DFX Intelligence

H•••••• G••••• 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 adviserasset managerSEC registeredRAUM 1b 10b

H•••••• G••••• I••••••••• L••••••

CRD 157964

H••• KONG

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:2b10301c-3e9f-2d27-bad1-10c396b96516

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 12
On other graphs: 0
Observed: Nov 28, 2011 to Mar 30, 2026
69 observations

Across DFX

owners resolved from Schedule A/B to their own records, measured by hand

Private Equityowner

D•• I••••••••• S•••••••• L••••••

schedule ab owner name equals pe organization name · confidence 50%

Facts

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

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.68 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0
Regulatory AUM: $3.8B••• Locked
Discretionary RAUM: $3.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• C••••• T•••• C••• L••	Shareholder	C	yes	03/1999	Nov 28, 2011	Dec 23, 2024
D• B••••••••• G•••	Shareholder	E	yes	12/2017	Mar 29, 2018	Dec 23, 2024

Affiliates (Item 7.A)

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$3.8B	$4.2B	-10.7%	$3.8B	-0.2%	32	29	0	0

Relationships

Affiliated with (1)

← D•• S•••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Owns (4)

← J••••• Y•••••OwnerRESPONSIBLE OFFICER, ownership code NA, individual
Nov 28, 2011 to Dec 23, 2024factForm ADV
← T•••• C•••• F•••• D••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 28, 2011 to Dec 23, 2024factForm ADV
← S••• C•••••• K••••OwnerRESPONSIBLE OFFICER, ownership code NA, individual

Dated events

Occurred
Dec 23, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 23, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 7, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 8, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2b10301c-3e9f-2d27-bad1-10c396b96516
First observed: Nov 28, 2011
Last observed: Mar 30, 2026 5 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.

Controls (14)

← J•••• L••OwnerCHAIRMAN & DIRECTOR, ownership code NA, individual
Apr 19, 2018 to Dec 23, 2024factForm ADV
← L•• L••••••OwnerDIRECTOR, ownership code NA, individual
Mar 28, 2019 to Dec 23, 2024factForm ADV
← H••• T•••••OwnerDIRECTOR/CEO/CIO/RESPONSIBLE OFFICER, ownership code NA, individual
Feb 7, 2024 to Dec 23, 2024factForm ADV
← C•••• C••••• T•••• C••• L••OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV
← D• B••••••••• G•••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 29, 2018 to Dec 23, 2024factForm ADV
← D••••••• B••• A•OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV
← D•• G•••• G••• • C•• K•••OwnerSHAREHOLDER, ownership code E, foreign entity
Mar 26, 2020 to Dec 23, 2024factForm ADV
← D•• I••••••••• S•••••••• L••••••OwnerSHAREHOLDER, ownership code C, foreign entity
Mar 26, 2020 to Dec 23, 2024factForm ADV
← H•••••• F•••••••• G•••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Aug 6, 2024 to Dec 23, 2024factForm ADV
← H•••••• F••• M••••••••• C••• L••OwnerSHAREHOLDER, ownership code E, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV
← L•••• I••••••••• C••• L••OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV
← S••••••• S•• H••• E••••••••• M••••••••• C••• L••OwnerSHAREHOLDER, ownership code E, foreign entity
Oct 18, 2023 to Dec 23, 2024factForm ADV
← T•• P••••••• I•••••••• C•••••• •••••• O• C••••OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV
← T••• Y••• H•••••• C••• L••OwnerSHAREHOLDER, ownership code D, foreign entity
Nov 28, 2011 to Dec 23, 2024factForm ADV