DFX Intelligence

N•••••• A•••• M••••••••• A••• 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

N•••••• A•••• M••••••••• A••• L••••••

CRD 143244

SINGAPORE

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Search this name across graphsid dfx:ria:b27708f3-c819-58ed-26aa-f7a1479a1a36

Data as of Apr 4, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 0
Observed: Mar 26, 2012 to Apr 4, 2016
14 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: $653M••• Locked
Discretionary RAUM: $539M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••	Shareholder	D	yes	07/2009	Mar 26, 2012	Apr 4, 2016
J•••••• I••••• M•••••••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2016	Mar 30, 2016	Apr 4, 2016

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••••• S••••• • C••••••• L•••	n/a	Other adviser	$387B	N	yes	n/a
H••••• A••••••••• L•	n/a	Asset manager	$109B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$653M	$771M	-15.3%	$800M	-6.5%	20	20	n/a	n/a

Relationships

Affiliated with (7)

→ L•••••• S••••• • C••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ H••••• • O••••••Registered adviserother investment adviser, common control
factForm ADV
→ A•• C•••••• M••••••••• L•Registered adviserother investment adviser, common control
factForm ADV
→ A••••••••• G••••• L••Registered adviserother investment adviser, bank, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b27708f3-c819-58ed-26aa-f7a1479a1a36
First observed: Mar 26, 2012
Last observed: Apr 4, 2016 127 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.