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CRD 125212
BOCA RATON, FL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHAU, WING, FU | PRESIDENT/MANAGING MEMBER/CHIEF COMPLIANCE OFFICER | E | yes | 02/2006 | Mar 23, 2012 | May 11, 2017 |
| CHAU, WING, FU | PRESIDENT/CHIEF COMPLIANCE OFFICER | Na | yes | 02/2006 | Mar 23, 2012 | May 11, 2017 |
| HARDING ADVISORY LLC | PARENT COMPANY | E | yes | 02/2008 | Mar 23, 2012 | May 11, 2017 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| HARDING ADVISORY LLC | n/a | Former SEC adviser | $679M | Y | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | May 11, 2017 | $630M | $630M | 3 | 3 | n/a | n/a | n/a |
| 2015 | Mar 18, 2016 | $665M | $665M | 3 | 3 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $821M | $821M | 3 | 3 | n/a | n/a | n/a |
| 2013 | Feb 13, 2014 | $935M | $935M | 3 | 3 | n/a | n/a | n/a |
| 2012 | Mar 5, 2013 | $1.1B | $1.1B | 3 | 3 | n/a | n/a | n/a |
| 2011 | Mar 23, 2012 | $1.4B | $1.4B | n/a | n/a | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $630M | $665M | -5.3% | $935M | -12.3% | 3 | 3 | n/a | n/a |