DFX Intelligence

U••••• C••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

U••••• C••••••

U••••• C•••••• PTE. LTD., CRD 163943

HONG KONG

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Search this name across graphsid dfx:ria:c277ba68-3ea5-0423-3cda-f193c446ec8d

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 5
On other graphs: 6
Observed: Jun 29, 2018 to Mar 31, 2026
11 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

U••••• C••••••

Private equity manager · cited, shared crd

Venture Capitalidentity

U••••• C••••••

Venture manager · cited, shared crd

Private Equityidentity

U••••• C••••••

Private equity manager · cited, shared crd

RIA / Wealth Managementidentity

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: $53.5M••• Locked
Discretionary RAUM: $1.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• H•••••• A••••••••	Director	Na	yes	01/2002	Jun 29, 2018	Mar 29, 2024
L••• S•••••• G••• L•••	Director	Na	yes	04/2023	Mar 29, 2024	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
U••••• C•••••• I•• L•••	n/a	Former SEC adviser	$53.5M	Y	yes	n/a
U••••• C•••••• E••••• P••••••• I••• L•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$53.5M	$168M	-68.2%	$208M	-36.4%	5	5	1	1

Relationships

Affiliated with (3)

→ U••••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV
← U••••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV
← U••••• C••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← L••• A•••••Owner

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
U••••• C•••••• reported RAUM $53.5M, down 68% from $168.4M (2025-03-24 to 2026-03-31)
Form ADVobserved 7 days ago
$-115M
Occurred
Mar 29, 2024
Control person joined
Geok Lian Sharon Lim (Director) appeared on Schedule A of U••••• C••••••
Form ADVobserved 7 days ago
Occurred
Mar 28, 2019
Regulatory AUM changed
U••••• C•••••• reported RAUM $377.8M, down 48% from $727.5M (2018-06-29 to 2019-03-28)
Form ADVobserved 7 days ago
$-350M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c277ba68-3ea5-0423-3cda-f193c446ec8d
First observed: Jun 29, 2018
Last observed: Mar 31, 2026 5 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.