DFX Intelligence

N••• G•••• I••••••••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

N••• G•••• I••••••••• L••••••

CRD 311497

WAN CHAI

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Search this name across graphsid dfx:ria:a1cb8ab7-6f91-248d-52d0-f7a31671ffb1

Data as of Dec 8, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 2
On other graphs: 0
Observed: Oct 29, 2020 to Dec 8, 2020
4 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 102
Advisory employees: 36
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
N•••••• X••• T••••	CHIEF COMPLIANCE OFFICER	E	yes	10/2021	Oct 29, 2020	Dec 8, 2020
j•••••• c••••••	SENIOR INVESTMENT ADVISOR	Na	no	09/2020	Nov 5, 2020	Dec 8, 2020

Relationships

Controls (1)

← N•••••• X••• T••••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Oct 29, 2020 to presentfactForm ADV

Owns (1)

← j•••••• c••••••OwnerSENIOR INVESTMENT ADVISOR, ownership code NA, individual
Nov 5, 2020 to presentfactForm ADV

Dated events

Occurred
Dec 8, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-120M
Occurred
Oct 29, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1cb8ab7-6f91-248d-52d0-f7a31671ffb1
First observed: Oct 29, 2020
Last observed: Dec 8, 2020 70 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.