DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

E••••••• I••••••••• P••••••• L••••••

CRD 137444

HONG KONG

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Search this name across graphsid dfx:ria:783a6e4b-942f-ad56-d34d-535887e45943

Data as of Mar 19, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Mar 19, 2014
5 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
Regulatory AUM: $356M••• Locked
Discretionary RAUM: $294M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• T•••••	Director	E	yes	02/2002	Mar 28, 2012	Mar 19, 2014
A•••••• E••••••• V••••••• •••••••• L••••••	Shareholder	Na	no	05/2008	Mar 28, 2012	Mar 19, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••••• I••••••••• P••••••• • C•••••• L••••••	n/a	Former SEC adviser	$278M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 19, 2014

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	$356M	$425M	-16.4%	n/a	n/a	15	16	n/a	n/a

Relationships

Affiliated with (1)

→ E••••••• I••••••••• P••••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (1)

← B••••• T•••••OwnerDIRECTOR, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV

Owns (2)

← A•••••• E••••••• V••••••• •••••••• L••••••OwnerSHAREHOLDER, ownership code NA, foreign entity
Mar 28, 2012 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:783a6e4b-942f-ad56-d34d-535887e45943
First observed: Mar 28, 2012
Last observed: Mar 19, 2014 152 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.