DFX Intelligence

S••••• • C•••• P•••••• W•••••• 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

S••••• • C•••• P•••••• W•••••• L••

CRD 312366

HOUSTON, TX

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Search this name across graphsid dfx:ria:9f34756c-6877-d1d2-7084-31cdd5180660

Data as of Mar 1, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 13
On other graphs: 0
Observed: Dec 26, 2020 to Mar 1, 2023
12 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: $754M••• Locked
Discretionary RAUM: $680M
Private client RAUM: $754Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 23

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C• F•••••••• C••••	Owner	E	yes	01/2022	Dec 26, 2020	Mar 1, 2023
C• P•••••• W•••••• L••	Owner	E	yes	02/2023	Feb 28, 2023	Mar 1, 2023
C• U• H•••••••• I•••

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C• P•••••• W•••••• L••	n/a	Independent wealth	$165B	Y	yes	n/a
S••••• • C•••• P•••••• W••••• L••	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
2021	Mar 16, 2022

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$754M	$665M	13.3%	n/a	n/a	23	19	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••	8	Mar 31, 2023	Feb 22, 2023	HOUSTON, TX	Firm absorbed	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•• P•••••• W••••• H•••••••• L••	9	Mar 15, 2021	Mar 5, 2021	HOUSTON, TX	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (2)

→ C••••••Registered adviserother investment adviser, control, common control
factForm ADV
← S•• P•••••• W••••• H•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

← C••••• H••••• E•••••OwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Dec 26, 2020 to presentfactForm ADV
← S•••••• D••••••• M••••••Owner

Dated events

Occurred
Mar 31, 2023
Firm absorbed
S••••• • C•••• P•••••• W•••••• L••'s advisors moved to Corient (Houston, TX): 8 of 8 registered, on the same day
Form ADVobserved 7 days ago
8 advisors
Occurred
Mar 31, 2023
Advisor changed firm
Jun Gu left S••••• • C•••• P•••••• W•••••• L•• for Corient (registered 2023-01-31)
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Advisor changed firm
Yonghui Huang left S••••• • C•••• P•••••• W•••••• L•• for Corient (registered 2023-01-31)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9f34756c-6877-d1d2-7084-31cdd5180660
First observed: Dec 26, 2020
Last observed: Mar 1, 2023 43 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.