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

G••••••••• A•••• M••••••••• L••••••

Former SEC-registered adviserGrand Cayman, CRD 139054SEC 801-106694IAPD
Latest filing Mar 30, 2021
First filing on the tape Sep 17, 2015 · 11 filings
RAUM
$6.9B
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
61
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$6.2B gross assets
History
11 filings and snapshots on the tape
RAUM$6.9B as of Mar 30, 2021
Mar 28, 2016$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 28, 20160 then
Employees (5.A)61 as of Mar 30, 2021
Mar 28, 201671 then
Private funds5 as of Mar 30, 2021
Mar 28, 20165 then
RAUM +41% over the last fiscal year+2.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
$407MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.0%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
+41%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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$6.2B94%
  • Sovereign wealth funds$417M6.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••••••••• B••••••• F•••Hedge Fund$92.1M26Mar 13, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• J•••••• •••• · Director And Shareholdercontrol
        since 11/2005 · owns 75% or more
      • J••••• J•••••• •••• · Director And Shareholdercontrol
        since 05/2007 · owns 75% or more of U••••• E•••••• C••••
      Entity owners
      • G••••••••• A•••• M••••••••• H••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • U••••• E•••••• C•••• · Shareholder
        indirect · owns 75% or more of G••••••••• A•••• M••••••••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      Advisers that list G••••••••• 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 · 10 to 17
        Mar 31, 2020 to Mar 30, 2021
      • Advisory employees · 31 to 30
        Mar 31, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 5 to 15
        Mar 31, 2020 to Mar 30, 2021
      • Assets in custody · 4172852921.0 to unset
        Mar 31, 2020 to Mar 30, 2021
      • Custody of client assets · true to false
        Mar 31, 2020 to Mar 30, 2021
      • Employees · 59 to 61
        Mar 31, 2020 to Mar 30, 2021
      • Discretionary RAUM · $4.9B to $6.9B
        Mar 31, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $4.2B to $6.2B
        Mar 31, 2020 to Mar 30, 2021
      • RAUM · $4.9B to $6.9B
        Mar 31, 2020 to Mar 30, 2021
      • Advisory employees · 38 to 31
        Mar 27, 2019 to Mar 30, 2020
      • Assets in custody · $1.1B to $4.2B
        Mar 27, 2019 to Mar 30, 2020
      • Employees · 79 to 59
        Mar 27, 2019 to Mar 30, 2020
      • HQ city · S••••••• to GRAND CAYMAN
        Mar 27, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 27, 2019 to Mar 30, 2020
      • Organization form · Limited Liability Company to Other (specify)
        Mar 27, 2019 to Mar 30, 2020
      • Discretionary RAUM · $3.6B to $4.9B
        Mar 27, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $3.0B to $4.2B
        Mar 27, 2019 to Mar 30, 2020
      • RAUM · $3.6B to $4.9B
        Mar 27, 2019 to Mar 30, 2020
      • Accounts · 14 to 10
        Mar 29, 2018 to Mar 27, 2019
      • Advisory employees · 35 to 38
        Mar 29, 2018 to Mar 27, 2019
      • Assets in custody · $1.3B to $1.1B
        Mar 29, 2018 to Mar 27, 2019
      • Employees · 75 to 79
        Mar 29, 2018 to Mar 27, 2019
      • Discretionary RAUM · $6.5B to $3.6B
        Mar 29, 2018 to Mar 27, 2019
      • Pension RAUM · 2003059000.0 to unset
        Mar 29, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $3.7B to $3.0B
        Mar 29, 2018 to Mar 27, 2019
      • RAUM · $6.5B to $3.6B
        Mar 29, 2018 to Mar 27, 2019
      • Accounts · 15 to 14
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 5.0
        Mar 28, 2017 to Mar 29, 2018
      • Assets in custody · $817M to $1.3B
        Mar 28, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 28, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.4B to $6.5B
        Mar 28, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 2003059000.0
        Mar 28, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 3672892000.0
        Mar 28, 2017 to Mar 29, 2018
      • RAUM · $3.4B to $6.5B
        Mar 28, 2017 to Mar 29, 2018
      • Accounts · 17 to 15
        May 12, 2016 to Mar 28, 2017
      • Assets in custody · $968M to $817M
        May 12, 2016 to Mar 28, 2017
      • Employees · 71 to 75
        May 12, 2016 to Mar 28, 2017
      • Discretionary RAUM · $4.9B to $3.4B
        May 12, 2016 to Mar 28, 2017
      • RAUM · $4.9B to $3.4B
        May 12, 2016 to Mar 28, 2017
      • Accounts · 14 to 17
        Sep 28, 2015 to Mar 28, 2016
      Signals
      6 dated events
      • G••••••••• A•••• M••••••••• L•••••• reported RAUM $6.9B, up 41% from $4.9B (2020-03-31 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • G••••••••• A•••• M••••••••• L•••••• reported RAUM $4.9B, up 37% from $3.6B (2019-03-27 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • G••••••••• A•••• M••••••••• L•••••• reported RAUM $3.6B, down 45% from $6.5B (2018-03-29 to 2019-03-27)
        Mar 27, 2019 · RAUM change · derived
      • Pak Kin Wong (Head Of Compliance) no longer on Schedule A of G••••••••• A•••• M••••••••• L•••••• (listed 2018-03-29, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • G••••••••• A•••• M••••••••• L•••••• reported RAUM $6.5B, up 89% from $3.4B (2017-03-28 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • G••••••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Sep 17, 2015 · First SEC registration · fact
      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