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

V••••• I••••••••• M••••••••• ••••• L••••••

Former SEC-registered adviserHong Kong Sar, CRD 137701SEC 801-65956IAPD
Latest filing Nov 26, 2013
First filing on the tape Mar 30, 2012 · 3 filings
RAUM
$351M
reported, Item 5.F
Discretionary
0.0%
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
16
11 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$351M as of Mar 28, 2013
Mar 30, 2012$408M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 16
Private funds: no history
RAUM -14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 26, 2013; 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
$39.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-14%derivedbetween 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 businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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
  • 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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • W•••• D•••••• H•• C•••• · Chief Investment Officercontrol
        since 09/2011 · owns less than 5%
      • W•••• J••••• H•• L•• · Chief Financial Officercontrol
        since 04/2000 · owns less than 5%
      • L••••• C•••••••• K•••••• · Chief Legal Officer
        since 05/2008 · owns less than 5%
      Entity owners
      • V••••• I••••••••• M••••••••• L•••••• · Owner
        direct · owns 75% or more
      • A••• V••••• C•••••• L•••••• · Shareholder
        indirect · owns 75% or more of F•••••• V••••• C• L••
      • F•••••• V••••• C• L•• · Shareholder
        indirect · owns 25% to 50% of V••••• I••••••••• M••••••••• L••••••
      • H••• I••••••••• T•••••• L•••••• · T••••••
        indirect · owns 75% or more of A••• V••••• C•••••• L••••••
      • P•••••• V••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of V••••• I••••••••• M••••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list V••••• I••••••••• 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 · 10 to 9
        Mar 30, 2012 to Mar 28, 2013
      • Advisory employees · unset to 11.0
        Mar 30, 2012 to Mar 28, 2013
      • Employees · unset to 16.0
        Mar 30, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $408M to $351M
        Mar 30, 2012 to Mar 28, 2013
      • RAUM · $408M to $351M
        Mar 30, 2012 to Mar 28, 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