DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

S•••••••• P•••••••• L•••

CRD 284681

TORTOLA

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Search this name across graphsid dfx:ria:673800d6-ec1e-41f8-d763-2ddadc17abf4

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 5
On other graphs: 1
Observed: Apr 18, 2018 to Mar 30, 2026
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

S•••••••• P•••••••• L•••

Credit provider · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $244M••• Locked
Discretionary RAUM: $244M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••••••• D••••••••• C•••••• L•••	Hedge Fund	$86.4M	Mar 28, 2024	17	Apr 18, 2018	reported	021-324429
S•••••••• C••••• O••••••••• I•• L•••	Hedge Fund	$34.4M	Mar 28, 2024

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•• F••• S•••• A••	CHIEF FINANCIAL OFFICER	Na	yes	05/2017	Apr 18, 2018	Mar 28, 2024
C••••• M••••••	CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER	Na	yes	05/2021	Apr 18, 2018	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••••• S•••••• I••••••••• C••••••••• • C••• L•••	n/a	n/a	n/a	Y	no	n/a
S•••••••• A•••• S••••••••• L•••	n/a	n/a	n/a	Y	no	n/a
S•••••••• P••••••• G• I•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
G••••••••	n/a	China	11	no
LOS GATOS	CA	United States	1	no
Beijing	n/a	China	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$244M	$194M	26.0%	$216M	4.2%	27	27	2	2

Relationships

Advises (2)

→ S•••••••• D••••••••• C•••••• L•••Private fundHedge Fund, IA
Apr 18, 2018 to presentfactForm ADV
→ S•••••••• C••••• O••••••••• I•• L•••Private fundHedge Fund, IA
Mar 31, 2023 to presentfactForm ADV

Controls (7)

← B•• F••• S•••• A••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 18, 2018 to Mar 28, 2024factForm ADV
← F•••••• B•••••••• W•

Dated events

Occurred
Mar 30, 2020
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Apr 29, 2019
Succession filed (Item 4)
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2019
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 11, 2019
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:673800d6-ec1e-41f8-d763-2ddadc17abf4
First observed: Apr 18, 2018
Last observed: Mar 30, 2026 5 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.