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F•••• W••••••• S••••••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••• W••••••• S••••••••• M••••••••• I•••

CRD 171971

PASADENA, CA

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Search this name across graphsid dfx:ria:f9e7fee1-8bfc-f4dd-67d4-a62f7bcf4c5f

Data as of May 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Jul 7, 2014 to May 5, 2026
31 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: independent wealth managerderivedprivate_client_share=0.79 fund_share=0.13 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $415MItem 5.F on the latest filing (2026-05-05); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $415M
Private client RAUM: $330MderivedItem 5.D individuals plus high net worth individuals
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• W•••••• H•••	Certified Financial Planner\|Chartered Financial Analyst	PASADENA, CA	12	34	1	no
W•••••• A••• C••••	Certified Financial Planner\|Chartered Financial Analyst	PASADENA, CA	12

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
L••• S••••• F•••• L•••	Hedge Fund	$38.9M	Jul 16, 2024	25	Dec 23, 2011	reported	021-51496
M•••• W••••• G••••• F•••• L•••	Hedge Fund	$6.8M

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• W••••••• A•••	PORTFOLIO MANAGER	B	yes	07/2019	Aug 21, 2019	Jul 16, 2024
G••••• N•••••• E••••••••	CHIEF COMPLIANCE OFFICER	Na	yes	06/2020	Dec 18, 2018

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 12 of 13

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$415M	$375M	10.8%	$307M	10.6%	9	9	0	0

Relationships

Advises (2)

→ L••• S••••• F•••• L•••Private fundHedge Fund, IA
Dec 23, 2011 to presentfactForm ADV
→ M•••• W••••• G••••• F•••• L•••Private fundHedge Fund, IA
Dec 23, 2011 to presentfactForm ADV

Registered with (5)

← T••••• H•••••• H•••••Advisorregistration: current employment
Sep 16, 2014 to presentfactForm ADV
←

Dated events

Occurred
Aug 21, 2019
Control person joined
Haoming Howard Lu (President & Ceo) appeared on Schedule A of F•••• W••••••• S••••••••• M••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Aug 21, 2019
Control person joined
Adam William Caton (Portfolio Manager) appeared on Schedule A of F•••• W••••••• S••••••••• M••••••••• I•••
Form ADVobserved 7 days ago
Occurred
Mar 25, 2019
Control person left
F••••• Z••••••••• (Finop) no longer on Schedule A of F•••• W••••••• S••••••••• M••••••••• I••• (listed 2018-12-18, absent 2019-03-25)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f9e7fee1-8bfc-f4dd-67d4-a62f7bcf4c5f
First observed: Jul 7, 2014
Last observed: May 5, 2026 4 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.

2025	Mar 27, 2026	$415M	$415M	9	6	0	2	n/a
2024	Mar 28, 2025	$375M	$375M	9	6	0	2	n/a
2023	Mar 26, 2024	$329M	$329M	9	6	0	2	$45.7M
2022	Mar 28, 2023	$307M	$307M	11	7	0	2	$43.7M
2021	Mar 30, 2022	$359M	$359M	11	7	0	2	$47.9M
2020	Mar 27, 2021	$297M	$297M	11	7	0	2	$37.6M
2019	Mar 31, 2020	$317M	$317M	11	7	0	2	$50.0M
2018	Mar 25, 2019	$331M	$331M	15	7	0	2	$49.4M
2017	Mar 24, 2018	$423M	$423M	15	7	0	2	$67.0M
2016	Mar 30, 2017	$411M	$411M	14	8	n/a	2	$56.8M
2015	Feb 12, 2016	$402M	$402M	14	8	n/a	2	$42.0M
2014	Mar 26, 2015	$624M	$624M	14	8	n/a	2	$70.9M