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Former SEC-registered adviser

P•••• C•••••• M••••••••• C•••••• L••••••

Former SEC-registered adviserHong Kong, CRD 138987SEC 801-66222IAPD
Latest filing Mar 21, 2024
First filing on the tape Mar 30, 2012 · 18 filings
RAUM
$1.0B
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
15
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$1.0B gross assets
History
18 filings and snapshots on the tape
RAUM$1.0B as of Mar 21, 2024
Mar 30, 2012$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2024
Mar 30, 20120 then
Employees (5.A)15 as of Mar 21, 2024
Mar 26, 201317 then
Private funds3 as of Mar 21, 2024
Mar 30, 20121 then
RAUM -19% over the last fiscal year-26% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2024; 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
$339MderivedRAUM 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
-19%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 pooled vehiclesreportedItem 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
  • Pooled investment vehicles$1.0B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••• B•••••• C•••• M••••• F•••Hedge Fund$1.0B70Mar 30, 2012
      D••••• B•••••• G••••• M••••• F•••Hedge Fund$197M7Mar 29, 2023
      D••••• B•••••• S••••• M••••• F•••Hedge Fund$5.9M19Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • L••• Y•••• · Directorcontrol
        since 07/2004 · owns less than 5%
      • L••• Y•••• · Shareholder And Directorcontrol
        since 09/2005 · owns 75% or more of C•••••• I••••••••• L••••••
      • L•••• J•• · Director
        since 08/2008 · owns less than 5%
      • Y•• D•••• · General Counsel And Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • C•••••• I••••••••• L•••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • P•••• C•••••• M••••••••• ••••••• L••••••
        investment adviserbankn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 3
        Mar 29, 2023 to Mar 21, 2024
      • Employees · 16 to 15
        Mar 29, 2023 to Mar 21, 2024
      • Discretionary RAUM · $1.3B to $1.0B
        Mar 29, 2023 to Mar 21, 2024
      • Pooled vehicle RAUM · $1.2B to $1.0B
        Mar 29, 2023 to Mar 21, 2024
      • RAUM · $1.3B to $1.0B
        Mar 29, 2023 to Mar 21, 2024
      • Accounts · 3 to 4
        Mar 22, 2022 to Mar 29, 2023
      • Advisory employees · 10 to 8
        Mar 22, 2022 to Mar 29, 2023
      • Pooled vehicle clients · 2 to 3
        Mar 22, 2022 to Mar 29, 2023
      • Employees · 20 to 16
        Mar 22, 2022 to Mar 29, 2023
      • Private funds · 2 to 3
        Mar 22, 2022 to Mar 29, 2023
      • Discretionary RAUM · $1.9B to $1.3B
        Mar 22, 2022 to Mar 29, 2023
      • Pooled vehicle RAUM · $1.7B to $1.2B
        Mar 22, 2022 to Mar 29, 2023
      • RAUM · $1.9B to $1.3B
        Mar 22, 2022 to Mar 29, 2023
      • Advisory employees · 11 to 10
        Mar 30, 2021 to Mar 22, 2022
      • Employees · 22 to 20
        Mar 30, 2021 to Mar 22, 2022
      • Discretionary RAUM · $2.5B to $1.9B
        Mar 30, 2021 to Mar 22, 2022
      • Pooled vehicle RAUM · $2.2B to $1.7B
        Mar 30, 2021 to Mar 22, 2022
      • RAUM · $2.5B to $1.9B
        Mar 30, 2021 to Mar 22, 2022
      • Accounts · 4 to 3
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $3.3B to $2.5B
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $2.9B to $2.2B
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $3.3B to $2.5B
        Mar 30, 2020 to Mar 30, 2021
      • Financial planning clients · 0 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $4.1B to $3.3B
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.6B to $2.9B
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $4.1B to $3.3B
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.8B to $4.1B
        Mar 28, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $3.3B to $3.6B
        Mar 28, 2018 to Mar 28, 2019
      • RAUM · $3.8B to $4.1B
        Mar 28, 2018 to Mar 28, 2019
      • Advisory employees · 9 to 11
        Mar 30, 2017 to Mar 28, 2018
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 20 to 22
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $3.2B to $3.8B
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 3275858606.0
        Mar 30, 2017 to Mar 28, 2018
      Signals
      1 dated events
      • P•••• C•••••• M••••••••• C•••••• L•••••• reported RAUM $1.3B, down 35% from $1.9B (2022-03-22 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      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