DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

H•••• A•••• A••••••• L••••••

CRD 108493

CENTRAL HONG KONG

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Data as of Mar 7, 2016 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2011 to Mar 7, 2016
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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Accounts: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• I••••••••• H••••••• L••	Shareholder	C	yes	12/1995	Nov 10, 2011	Mar 7, 2016
H•••• I••••••••• M••••••••• H••••••• L••••••	Shareholder	E	yes	06/2012	Jul 16, 2012	Mar 7, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••••••• A•••• M••••••••• L••••••	n/a	Former SEC adviser	$165M	N	yes	n/a
C••••••••• C•••••• M••••••••• ••••••••• L••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 7, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$0	$235M	-100.0%	$440M	n/a	8	7	n/a	n/a

Relationships

Affiliated with (1)

→ B••••••••• A•••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV

Controls (5)

← S••••• H•••• A•••OwnerCHIEF EXECUTIVE/ DIRECTOR, ownership code NA, individual
Nov 10, 2011 to presentfactForm ADV
← H•••• I••••••••• H••••••• L••OwnerSHAREHOLDER, ownership code C, foreign entity
Nov 10, 2011 to presentfactForm ADV
← H•••• I••••••••• M••••••••• H••••••• L••••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 10, 2011
Last observed: Mar 7, 2016 128 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.