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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•••• M••••••••• I•••••••••

T••• R••••• WAI, CRD 110702

TSIMSHATSUI, KOWLOON

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Search this name across graphsid dfx:ria:4b613fd4-65f3-2373-85a0-b9c3b7c39608

Data as of Nov 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:01 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Nov 23, 2011 to Nov 30, 2016
6 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 5
SEC number: 801-47405
CRD: 110702
Filings on the tape: 6
First filed

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••• R•••••• W••	DIRECTOR, CHIEF COMPLIANCE OFFICER	E	yes	10/1994	Nov 23, 2011	Nov 30, 2016

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Nov 30, 2016	n/a	n/a	5	5	n/a	n/a	n/a
2015

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	n/a	n/a	n/a	n/a	n/a	5	5	n/a	n/a

Relationships

Controls (1)

← T•••• R•••••• W••OwnerDIRECTOR, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 23, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4b613fd4-65f3-2373-85a0-b9c3b7c39608
First observed: Nov 23, 2011
Last observed: Nov 30, 2016 119 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.