DFX Intelligence

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

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RIA / WealthRegistered adviserInstitutional managerSEC registeredRAUM 1b 10b

W•••••• A•••• M••••••••• C•••••• P•• L••

CRD 142188

SINGAPORE

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Search this name across graphs

Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 19
On other graphs: 0
Observed: Mar 30, 2012 to Sep 16, 2026
34 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.25 institutional_share=0.73 related_bd=true related_bank=true bd_reps=0.0 bank_owner=false
Regulatory AUM: $2.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• L••••• A•	NON-EXECUTIVE DIRECTOR	Na	yes	03/2017	Jun 29, 2017	Dec 23, 2024
D•••• M••••••	CHIEF EXECUTIVE OFFICER AND EXECUTIVE DIRECTOR	Na	yes	04/2019	Jun 28, 2019	Dec 23, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• A•••• M••••••••• C••••••• L••	n/a	Asset manager	$185B	Y	yes	n/a
F••••••• T•••••••• F••• A••••••• L••	n/a	Asset manager	$167B	N	yes	n/a

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
2024	$2.8B	$4.2B	-33.5%	$5.3B	-19.1%	9	23	0	0

Relationships

Affiliated with (30)

→ W•••••• A•••• M••••••••• C•••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ W•••••• A•••• M••••••••• C••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ W•••••• A•••• M••••••••• C•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••• T•••••••• F••• A••••••• L••Registered adviser

Dated events

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

Order

Occurred
16 Sep 2026
Ria principal change4 events
W•••••• A•••• M••••••••• C•••••• P•• L••: ria principal change, 4 events, on 16 Sep 2026
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
16 Sep 2026
Ria indirect owner change2 events
W•••••• A•••• M••••••••• C•••••• P•• L••: ria indirect owner change, 2 events, on 16 Sep 2026
- ••• Locked
- ••• Locked
Occurred
12 Dec 2025
Regulatory AUM changed
••• Locked
Form ADV
down $1.2B
Occurred
22 Dec 2022
Regulatory AUM changed
••• Locked
Form ADV
down $1.4B
Occurred
12 Sep 2022
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 30, 2012
Last observed: Sep 16, 2026 7 days 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.

All 11 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•• H••••••• ••••••• L••••••	JOINT SHAREHOLDER	E	no	10/2021	Dec 21, 2021	Dec 23, 2024

All 13 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Jun 30, 2014	$4.6B	$4.6B	20	7	n/a	n/a	n/a
2013	Jun 28, 2013	$4.6B	$4.6B	20	7	n/a	n/a	n/a
2012	Jun 29, 2012	$3.8B	$3.8B	n/a	n/a	n/a	n/a	n/a