DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserAsset managerSEC registeredRAUM 100m 1b

C•••••••• C•••••• A••• L••••••

CRD 328093

TSIM SHA TSUI, KOWLOON

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphs

Data as of Jun 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 4
On other graphs: 0
Observed: Sep 22, 2023 to Jun 29, 2026
7 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: asset managerderived••• Locked
Regulatory AUM: $685M••• Locked
Discretionary RAUM: $685M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••• K••••• M•••••••• B••••••• W••••• B•••	Shareholder	C	yes	04/2022	Sep 22, 2023	May 7, 2024
C•••••••• C•••••• •••••••	Shareholder	E	yes	09/2011	Sep 22, 2023	May 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•••••••• C•••••• L••••••	n/a	Asset manager	$685M	Y	yes	n/a
C•••••••• C•••••• ••••••• G•	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Apr 19, 2024	$829M	$829M	5	3	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$685M	n/a	n/a	n/a	n/a	5	n/a	0	n/a

Relationships

Affiliated with (2)

→ C•••••••• C•••••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV
← C•••••••• C•••••• L••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← C•••••••• C•••••• L••••••OwnerSHAREHOLDER, ownership code E, foreign entity
Sep 22, 2023 to May 7, 2024factForm ADV
← K••••• D••••• N••Owner

Dated events

Order

Occurred
29 Jun 2026
Ria indirect owner change2 events
C•••••••• C•••••• A••• L••••••: ria indirect owner change, 2 events, on 29 Jun 2026
- ••• Locked
- ••• Locked
Occurred
10 Jun 2025
Ria hq relocated
••• Locked
Form ADV
Occurred
22 Sep 2023
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 22, 2023
Last observed: Jun 29, 2026 2 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.