DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

P••••••• A•••• M••••••••• I••

Former SEC-registered adviserHonolulu, HawaiiCRD 106178SEC 801-47749IAPD
Latest filing Mar 28, 2019
First filing on the tape Dec 21, 2011 · 11 filings
RAUM
$59.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$59.2M gross assets
History
11 filings and snapshots on the tape
RAUM$59.2M as of Mar 28, 2019
Mar 29, 2012$276M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 29, 20120 then
Employees (5.A)5 as of Mar 28, 2019
Mar 28, 20136 then
Private funds2 as of Mar 28, 2019
Mar 26, 20151 then
RAUM -49% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$29.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-49%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$233,879, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$59.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$233,879 for 1 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P••••••• J•••• F••• L•••Other Private Fund$59.0M1Mar 29, 2018
      S••••••••• C•••••••• F••• L•••Hedge Fund$233,8796Mar 26, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••• C•••••• R••••• · Chief Investment Officercontrol
        since 05/2006 · owns less than 5%
      • M••••••••• K•••• · Director, Presidentcontrol
        since 01/2009 · owns less than 5%
      • S••••• H•••••••• C•••••• · Director, Cco And Cfocontrol
        since 06/2009 · owns less than 5%
      Entity owners
      • P••••••• C••• L•• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P••••••• A•••• M••••••••• ••••••• I••••••• L••••••
        pooled vehicle sponsorn
      • P••••••• C••• L•••
        investment companyy
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $57.8M to $233,879
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $116M to $59.2M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $116M to $59.2M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $116M to $59.2M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 3 to 2
        Feb 8, 2018 to Mar 29, 2018
      • Assets in custody · $6.7M to $57.8M
        Feb 8, 2018 to Mar 29, 2018
      • Private funds · 1 to 2
        Feb 8, 2018 to Mar 29, 2018
      • Discretionary RAUM · $121M to $116M
        Feb 8, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $121M to $116M
        Feb 8, 2018 to Mar 29, 2018
      • RAUM · $121M to $116M
        Feb 8, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Jul 5, 2017 to Feb 8, 2018
      • Other offices · unset to 1.0
        Jul 5, 2017 to Feb 8, 2018
      • Discretionary RAUM · $136M to $121M
        Jul 5, 2017 to Feb 8, 2018
      • Pooled vehicle RAUM · unset to 121174519.0
        Jul 5, 2017 to Feb 8, 2018
      • RAUM · $136M to $121M
        Jul 5, 2017 to Feb 8, 2018
      • Advisory activities · 2 to 1
        Apr 3, 2017 to Jul 5, 2017
      • Assets in custody · $7.0M to $6.7M
        Apr 3, 2017 to Jul 5, 2017
      • Discretionary RAUM · $142M to $136M
        Apr 3, 2017 to Jul 5, 2017
      • RAUM · $142M to $136M
        Apr 3, 2017 to Jul 5, 2017
      • Accounts · 5 to 3
        Mar 31, 2016 to Apr 3, 2017
      • Assets in custody · $4.0M to $7.0M
        Mar 31, 2016 to Apr 3, 2017
      • Discretionary RAUM · $172M to $142M
        Mar 31, 2016 to Apr 3, 2017
      • RAUM · $172M to $142M
        Mar 31, 2016 to Apr 3, 2017
      • Advisory employees · 6 to 5
        Mar 26, 2015 to Mar 31, 2016
      • Assets in custody · $3.6M to $4.0M
        Mar 26, 2015 to Mar 31, 2016
      • Employees · 6 to 5
        Mar 26, 2015 to Mar 31, 2016
      • Discretionary RAUM · $260M to $172M
        Mar 26, 2015 to Mar 31, 2016
      • RAUM · $260M to $172M
        Mar 26, 2015 to Mar 31, 2016
      • Assets in custody · $5.0M to $3.6M
        Mar 27, 2014 to Mar 26, 2015
      • Private funds · unset to 1
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $346M to $260M
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $346M to $260M
        Mar 27, 2014 to Mar 26, 2015
      • Assets in custody · $2.8M to $5.0M
        Mar 28, 2013 to Mar 27, 2014
      • Discretionary RAUM · $302M to $346M
        Mar 28, 2013 to Mar 27, 2014
      • RAUM · $302M to $346M
        Mar 28, 2013 to Mar 27, 2014
      • Advisory employees · unset to 6.0
        Mar 29, 2012 to Mar 28, 2013
      • Assets in custody · $3.6M to $2.8M
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $276M to $302M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $276M to $302M
        Mar 29, 2012 to Mar 28, 2013
      Signals
      1 dated events
      • Xin Zhang (Director) no longer on Schedule A of P••••••• A•••• M••••••••• I•• (listed 2018-03-29, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026