DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

P••• S•••••• A••••••• L••

CRD 289398

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Search this name across graphsid dfx:ria:62322a6a-056a-a616-1e7f-1b08f7194aa6

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Oct 9, 2017 to Sep 2, 2026
26 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: independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $35.5M••• Locked
Discretionary RAUM: $5.4M
Private client RAUM: $33.3Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $35.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•• Z••••	n/a	Beijing	0	13	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Z••••• L••	CEO/CFO/COO/CCO	E	yes	09/2019	Sep 18, 2019	Mar 7, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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	$35.5M	$2.0M	1661.6%	$1.7M	175.7%	2	1	0	0

Relationships

Registered with (1)

← L•• Z••••Advisorregistration: previous registration
Oct 3, 2019 to Dec 31, 2024factForm ADV

Affiliated with (1)

← O••••••• A•••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (1)

← Z••••• L••OwnerCEO/CFO/COO/CCO, ownership code E, individual
Sep 18, 2019 to Mar 7, 2024factForm ADV

Dated events

Occurred
Sep 18, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Sep 18, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Oct 9, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:62322a6a-056a-a616-1e7f-1b08f7194aa6
First observed: Oct 9, 2017
Last observed: Sep 2, 2026 20 days 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.