DFX Intelligence

M••••• S•••••• I••••••••• M••••••••• C••••••: 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 adviserother adviserSEC registeredRAUM 10b 100b

M••••• S•••••• I••••••••• M••••••••• C••••••

CRD 126896

S••••••••

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 graphsid dfx:ria:991ed4c0-7b22-07c0-f754-0c5dc5288887

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 52
Dated events: 19
On other graphs: 0
Observed: Mar 30, 2012 to Mar 27, 2026
39 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: other adviserderivedprivate_client_share=0.0 fund_share=0.29 institutional_share=0.22 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 51

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• D••••• B••••••	Director	Na	yes	04/2023	Apr 28, 2023	Dec 4, 2024
H•• A•••••••• S•• K•••	DIRECTOR AND CEO	Na	yes	11/2021	Dec 3, 2021	Dec 4, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• S•••••• S•••• B••••• L••	n/a	Wirehouse	$1962B	N	yes	n/a
M••••• S•••••• I••••••••• M••••••••• I•••	n/a	Asset manager	$702B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Kowloon	n/a	Hong Kong	3	no

Regulatory AUM by fiscal year

••• Locked

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

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	$11B	$10B	8.4%	$26B	-24.7%	51	49	1	1

Relationships

Affiliated with (39)

← M••••• S•••••• I••••••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← E•••• V•••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
← M••••• S•••••• A•• G• L•Registered adviserother investment adviser, common control
factForm ADV
← C•••••• R••••••• A•• M•••••••••Registered adviserother investment adviser, common control

Dated events

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

Occurred
Mar 27, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Mar 27, 2026
Ria office opened
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:991ed4c0-7b22-07c0-f754-0c5dc5288887
First observed: Mar 30, 2012
Last observed: Mar 27, 2026 6 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.