DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

A•••••••• I••••••••• M••••••••• C••

CRD 149990

S••••NAM-SI, GYEONGGI-DO

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Search this name across graphsid dfx:ria:64596f5c-f236-78f0-83d4-15d514949f04

Data as of Jul 5, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 19, 2012 to Jul 5, 2018
10 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: 61
Advisory employees: 23
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-70218
CRD: 149990

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• T••••••	EXECUTIVE DIRECTOR	Na	yes	05/2016	Oct 7, 2016	Jul 5, 2018
K•••• B•••••••	Chairman	C	yes	01/2006	Mar 19, 2012	Jul 5, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A• O•• A•••• M••••••••• L••	n/a	Former SEC adviser	$14.8M	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	n/a	$202M	n/a	$4.3B	n/a	61	65	0	n/a

Relationships

Affiliated with (2)

← A• O•• A•••• M••••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ A• O•• A•••• M••••••••• L••Registered adviserother investment adviser
factForm ADV

Controls (5)

← Y•••• I•••••OwnerCHIEF STRATEGY OFFICER, ownership code NA, individual
Mar 19, 2012 to presentfactForm ADV
← K•••• B•••••••OwnerCHAIRMAN, ownership code C, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64596f5c-f236-78f0-83d4-15d514949f04
First observed: Mar 19, 2012
Last observed: Jul 5, 2018 100 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.