DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

U••••• C••••••

U••••• C•••••• III LTD., CRD 162734

HONG KONG

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Search this name across graphsid dfx:ria:83d4b5bc-2619-4150-1a5d-b2b1e68139b1

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 9
On other graphs: 6
Observed: Jun 29, 2018 to Mar 31, 2026
13 observations

Across DFX

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

Private Equityidentity

U••••• C••••••

Private equity manager · cited, shared crd

Venture Capitalidentity

U••••• C••••••

Venture manager · cited, shared crd

Private Equityidentity

U••••• C••••••

Private equity manager · cited, shared crd

RIA / Wealth Managementidentity

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: $53.5M••• Locked
Discretionary RAUM: $1.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••• O••••••••• F••• I••• L•••	Private Equity Fund	$52.1M	Jun 2, 2026	44	Mar 30, 2012	reported	n/a
A•• I•• •••• H••••••••• L•••	Private Equity Fund	$758,400

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• J•••• D••••	CHIEF EXECUTIVE OFFICER	Na	yes	01/2013	Jun 29, 2018	Mar 29, 2024
L••• S•••••• G••• L•••	CHIEF FINANCIAL OFFICER / DIRECTOR	Na	yes	08/2007	Jun 29, 2018	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U••••• C•••••• P••• L•••	n/a	Former SEC adviser	$53.5M	Y	yes	n/a
U••••• C•••••• E••••• P••••••• I••• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	$53.5M	$168M	-68.2%	$208M	-36.4%	3	3	1	1

Relationships

Advises (3)

→ A••• O••••••••• F••• I••• L•••Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ A•• I•• •••• H••••••••• L•••Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV
→ A••• •••••• H•••••••• L•••Private fundPrivate Equity Fund, ERA
Mar 30, 2012 to presentfactForm ADV

Affiliated with (3)

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 2, 2026
Ria private fund assets change
••• Locked
Form ADVobserved today
$-133M
Occurred
Jun 2, 2026
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Jun 2, 2026
Private fund gav change
••• Locked
Form ADVobserved today
$-130M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:83d4b5bc-2619-4150-1a5d-b2b1e68139b1
First observed: Jun 29, 2018
Last observed: Mar 31, 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.