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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SEC-registered adviser
S••• A•••• M••••••••• I•••
Latest filing May 8, 2026
First filing on the tape Mar 8, 2012 · 29 filings
SEC status 120-day approval since May 29, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$0 as of May 8, 2026
Jun 26, 2012$435M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of May 8, 2026
Jun 27, 20130 then
Employees (5.A)6 as of May 8, 2026
Jun 27, 20136 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 2
Practice profile
derived from the filing of May 8, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
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
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••• H•••••• · Directorsince 09/2018 · owns less than 5%
- S••••••• H•••••• · Directorsince 06/2015 · owns less than 5%
- T•••••••• T•••••••• · Chief Compliance Officersince 07/2013 · owns less than 5%
Entity owners
- S••••••• M••••• D• A•••• M••••••••• C••••••• L••••• · Shareholderdirect · owns 75% or more
- S••••••• M••••• F•••••••• G••••• I•• · Indirect Shareholderindirect · owns 50% to 75% of S••••••• M••••• D• A•••• M••••••••• C••••••• L•••••
Related persons
Schedule D 7.A
- S••••••• M••••• Ds Asset Management (Hong Kong) Limitedinvestment advisernRAUM $567M
- D•••• S• I••••••••• ••••••••• L•••investment advisernRAUM $168M
- D•••• S• I••••••••• L••investment adviseryRAUM $48B
- D•••• S• I••••••••• U• L••investment advisern
- D•••• S••••••••• C•• L•••broker-dealern
- S••• N•••• S••••••••• I•••broker-dealern
- S••••••• M••••• B•••••• C•••••••••n
Advisers that list S••• A•••• M••••••••• I••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing May 8, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2019-05-14, yes on the filing of 2026-05-08peers: other advisers, under $100M (671)
What changed
consecutive filings, newest first
- Accounts · unset to 0.0May 14, 2019 to May 8, 2026
- Advisory employees · 0 to 3May 14, 2019 to May 8, 2026
- Advisory activities · 1 to 2May 14, 2019 to May 8, 2026
- Business name · D•••• S• I••••••••• U•• L•• to S••• A•••• M••••••••• I•••May 14, 2019 to May 8, 2026
- Employees · 5 to 6May 14, 2019 to May 8, 2026
- Financial planning clients · unset to May 14, 2019 to May 8, 2026
- State-registered IARs · 0 to 2May 14, 2019 to May 8, 2026
- Legal name · D•••• S• I••••••••• U•• L•• to S••• A•••• M••••••••• I•••May 14, 2019 to May 8, 2026
- Discretionary RAUM · unset to 0.0May 14, 2019 to May 8, 2026
- Non-discretionary RAUM · unset to 0.0May 14, 2019 to May 8, 2026
- RAUM · unset to 0.0May 14, 2019 to May 8, 2026
- Accounts · 1.0 to unsetSep 7, 2018 to Mar 22, 2019
- Discretionary RAUM · 229513754.0 to unsetSep 7, 2018 to Mar 22, 2019
- Non-discretionary RAUM · 0.0 to unsetSep 7, 2018 to Mar 22, 2019
- Pension RAUM · 229513754.0 to unsetSep 7, 2018 to Mar 22, 2019
- RAUM · 229513754.0 to unsetSep 7, 2018 to Mar 22, 2019
- Discretionary RAUM · $298M to $230MNov 17, 2017 to Jun 18, 2018
- Pension RAUM · $298M to $230MNov 17, 2017 to Jun 18, 2018
- RAUM · $298M to $230MNov 17, 2017 to Jun 18, 2018
- Other offices · unset to 0.0Jun 5, 2017 to Nov 17, 2017
- Discretionary RAUM · $249M to $298MJun 5, 2017 to Nov 17, 2017
- Pension RAUM · unset to 298314325.0Jun 5, 2017 to Nov 17, 2017
- RAUM · $249M to $298MJun 5, 2017 to Nov 17, 2017
- Discretionary RAUM · $198M to $249MApr 13, 2017 to Jun 5, 2017
- RAUM · $198M to $249MApr 13, 2017 to Jun 5, 2017
- Discretionary RAUM · $191M to $198MOct 5, 2015 to Jun 2, 2016
- RAUM · $191M to $198MOct 5, 2015 to Jun 2, 2016
- Discretionary RAUM · $181M to $191MNov 18, 2014 to Jun 2, 2015
- RAUM · $181M to $191MNov 18, 2014 to Jun 2, 2015
- Discretionary RAUM · $171M to $181MJun 25, 2014 to Oct 23, 2014
- RAUM · $171M to $181MJun 25, 2014 to Oct 23, 2014
- Employees · 6 to 5Mar 10, 2014 to Jun 25, 2014
- Discretionary RAUM · $175M to $171MMar 10, 2014 to Jun 25, 2014
- RAUM · $175M to $171MMar 10, 2014 to Jun 25, 2014
- Accounts · 2 to 1Oct 18, 2013 to Jan 8, 2014
- Advisory activities · 2 to 1Oct 18, 2013 to Jan 8, 2014
- Discretionary RAUM · $277M to $175MOct 18, 2013 to Jan 8, 2014
- RAUM · $277M to $175MOct 18, 2013 to Jan 8, 2014
- Accounts · 3 to 2Oct 7, 2013 to Oct 18, 2013
- Discretionary RAUM · $463M to $277MOct 7, 2013 to Oct 18, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-418-3030reportedpublic record, Form ADV, May 8, 2026
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
- No RAUM reportedderiveda 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