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

B••••• A•••• M••••••••• ••••• L••••••

Former SEC-registered adviserHong Kong, CRD 108513SEC 801-56176IAPD
Latest filing Mar 26, 2015
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$5.6B
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
68
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$5.6B as of Mar 26, 2015
Mar 29, 2012$8.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Mar 29, 20120 then
Employees (5.A)68 as of Mar 26, 2015
Mar 27, 201361 then
Private funds: no history
RAUM -7.8% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2015; 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
$129MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.8%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
43reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• D••••• J• · Chairmancontrol
        since 12/2002 · owns less than 5%
      • C•••• K•••• · Chief Operating Officercontrol
        since 09/2009 · owns less than 5%
      • C••••• T••••• · Chief Compliance Officercontrol
        since 09/2006 · owns less than 5%
      • K•••••• T•••• S••• · Chief Executive Officer, K••••control
        since 04/2013 · owns less than 5%
      • L••• E•••• C••• H••• · Chief Financial Officercontrol
        since 07/2013 · owns less than 5%
      • N•• G••••• J•• Y••• · Managing Directorcontrol
        since 12/2004 · owns less than 5%
      • S••• W••••••• W••• F•• · Chief Investment Officercontrol
        since 01/2011 · owns less than 5%
      Entity owners
      • B••••• A•••• M••••••••• ••••• H••••••• L•• · Shareholder 1: Shareholder Of Applicant
        direct · owns 75% or more
      • B••••• A•••• M••••••••• L•• · Shareholder 4: Shareholder Of 3
        indirect · owns 75% or more of B••••• Internatinoal Investment Management Holdings
      • B••••• A•••• M••••••••• U• H••••••• L•••••• · Shareholder 2: Shareholder Of 1
        indirect · owns 75% or more of B••••• A•••• M••••••••• ••••• H••••••• L••
      • B••••• I••••••••• I••••••••• M••••••••• H••••••• · Shareholder 3: Shareholder Of 2
        indirect · owns 75% or more of B••••• A•••• M••••••••• U• H••••••• L••••••
      • M••••••••• M••••• L••• I•••••••• C•••••• · Shareholder 9: Shareholder Of 8
        indirect · owns 75% or more of M••••••••• H•••••• L••
      • M••••••••• B••••• H•••••• L•• · Shareholder 6: Shareholder Of 5
        indirect · owns 75% or more of M••••••••• H••••••• •••••••• L••••••
      • M••••••••• H•••••• L•• · Shareholder 8: Shareholder Of 7
        indirect · owns 75% or more of M• A•••• M••••••••• H•••••• L••
      • M••••••••• H••••••• •••••••• L•••••• · Shareholder 5: Shareholder Of 4
        indirect · owns 75% or more of B••••• A•••• M••••••••• L••
      • M• A•••• M••••••••• H•••••• L•• · Shareholder 7: Shareholder Of 6
        indirect · owns 75% or more of M••••••••• B••••• H•••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list B••••• A•••• M••••••••• ••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 45 to 43
        Mar 27, 2014 to Mar 26, 2015
      • Advisory activities · 3 to 2
        Mar 27, 2014 to Mar 26, 2015
      • Employees · 64 to 68
        Mar 27, 2014 to Mar 26, 2015
      • Discretionary RAUM · $6.0B to $5.6B
        Mar 27, 2014 to Mar 26, 2015
      • RAUM · $6.0B to $5.6B
        Mar 27, 2014 to Mar 26, 2015
      • Accounts · 34 to 45
        Apr 25, 2013 to Mar 27, 2014
      • Advisory employees · 19 to 20
        Apr 25, 2013 to Mar 27, 2014
      • Employees · 61 to 64
        Apr 25, 2013 to Mar 27, 2014
      • Discretionary RAUM · $7.6B to $6.0B
        Apr 25, 2013 to Mar 27, 2014
      • RAUM · $7.6B to $6.0B
        Apr 25, 2013 to Mar 27, 2014
      • Accounts · 43 to 34
        Jul 16, 2012 to Mar 27, 2013
      • Advisory employees · unset to 19.0
        Jul 16, 2012 to Mar 27, 2013
      • Employees · unset to 61.0
        Jul 16, 2012 to Mar 27, 2013
      • Discretionary RAUM · $8.2B to $7.6B
        Jul 16, 2012 to Mar 27, 2013
      • RAUM · $8.2B to $7.6B
        Jul 16, 2012 to Mar 27, 2013
      Signals
      No event on the tape.
      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