DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

S•••••••• I••••••••• S••••••••• I•••

CRD 37216

NEW YORK, NY

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Search this name across graphsid dfx:ria:5b13a291-3c5f-2c00-3e46-29e3b69235d3

Data as of Dec 18, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 11
On other graphs: 0
Observed: Jan 17, 2012 to Dec 18, 2019
44 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: $0derived••• Locked
Advisors on IAPD: 0
Employees: 170
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••• T••••• M•••• A••••••	PRESIDENT AND CHIEF EXECUTIVE OFFICER; MEMBER, BOARD OF DIRECTORS	Na	yes	04/2018	Mar 28, 2018	Dec 18, 2019
F••••••• A••• H••••	MEMBER, BOARD OF DIRECTORS (BOARD CHAIRMAN; NON-EMPLOYEE DIRECTOR)	Na	yes	03/2017	Mar 30, 2017	Dec 18, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	n/a	$988M	n/a	$878M	n/a	170	144	0	0

Relationships

Controls (8)

← M••• Y•••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jun 19, 2019 to presentfactForm ADV
← F••••••• A••• H••••OwnerMEMBER, BOARD OF DIRECTORS (BOARD CHAIRMAN; NON-EMPLOYEE DIRECTOR), ownership code NA, individual
Mar 30, 2017 to presentfactForm ADV
← A•••• T••••• M•••• A••••••OwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER; MEMBER, BOARD OF DIRECTORS, ownership code NA, individual
Mar 28, 2018 to presentfactForm ADV
← M••••••••• J•••••OwnerMEMBER, BOARD OF DIRECTORS (NON-EMPLOYEE DIRECTOR), ownership code NA, individual

Dated events

Occurred
Aug 6, 2019
Control person joined
Felix Munoz Elorza (Chief Financial Officer) appeared on Schedule A of S•••••••• I••••••••• S••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Aug 6, 2019
Control person left
Hongmei Zhu (Chief Financial Officer) no longer on Schedule A of S•••••••• I••••••••• S••••••••• I••• (listed 2019-06-19, absent 2019-08-06)
Form ADVobserved 7 days ago
Occurred
Jun 19, 2019
Control person joined
Yuan-Pei Mao (Chief Compliance Officer) appeared on Schedule A of S•••••••• I••••••••• S••••••••• I•••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b13a291-3c5f-2c00-3e46-29e3b69235d3
First observed: Jan 17, 2012
Last observed: Dec 18, 2019 82 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.