DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S•••• A••• I••••••••• A••••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 26, 2012 · 21 filings
SEC status approved since May 17, 2006
RAUM
$13.3M
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
17
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$13.3M as of Mar 30, 2026
Mar 26, 2012$591M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 26, 20120 then
Employees (5.A)17 as of Mar 30, 2026
Apr 1, 201325 then
Private funds: no history
RAUM +14% over the last fiscal year-53% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $6.6MderivedRAUM 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
- +14%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 assetsreportedItem 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
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$13.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
- F•••••••• Y••••• · President And Directorcontrolsince 04/2023 · owns less than 5%
- M••••••••• H••••••• •••• · Directorcontrolsince 05/2016 · owns less than 5%
- N•• T•• H•••• A••• · Director, Head Of Risk Control And Compliance, Chief Compliance Officercontrolsince 11/2014 · owns less than 5%
- S•••••• T•••••• · Chairman And Directorcontrolsince 04/2021 · owns less than 5%
- A••• S••••• · Shareholdercontrolsince 06/1989 · owns 25% to 50% of S•••• G•••• C••• L•••
Entity owners
- S•••• A••• C•••••• M••••••••• L•••••• · Sole Shareholderdirect · owns 75% or more
- S•••• G•••• C••• L••• · Shareholderindirect · owns 75% or more of S•••• A••• C•••••• M••••••••• L••••••
Related persons
Schedule D 7.A
- S•••• A••• C•••••• M••••••••• L••••••pooled vehicle sponsory
- S•••• A•••• M••••••••• C••• L•••broker-dealerinvestment adviserpooled vehicle sponsornRAUM $12B
- S•••• A•••• M••••••••• K•••• C••• L•••investment adviserpooled vehicle sponsorn
- S•••• A•••• T•••• • M••••••••• C••• L•••investment adviserinvestment companyn
- S•••• G•••• C••• L•••pooled vehicle sponsory
- S•••• M•••• C••••••• I••••••••• I•• L••••••pooled vehicle sponsorn
- S•••• M•••• C••••••• I••••••••• L••••••pooled vehicle sponsorn
Advisers that list S•••• A••• I••••••••• A••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1 to 2Mar 26, 2025 to Mar 30, 2026
- Pooled vehicle clients · 1 to 2Mar 26, 2025 to Mar 30, 2026
- Employees · 18 to 17Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $11.6M to $13.3MMar 26, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $11.6M to $13.3MMar 26, 2025 to Mar 30, 2026
- RAUM · $11.6M to $13.3MMar 26, 2025 to Mar 30, 2026
- Accounts · 5 to 1Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 5 to 4Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 5 to 1Mar 27, 2024 to Mar 26, 2025
- Employees · 19 to 18Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- HQ state · unset to Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $144M to $11.6MMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $144M to $11.6MMar 27, 2024 to Mar 26, 2025
- RAUM · $144M to $11.6MMar 27, 2024 to Mar 26, 2025
- Advisory employees · 6 to 5Oct 31, 2023 to Mar 27, 2024
- Financial planning clients · 0 to unsetOct 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $128M to $144MOct 31, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $4.1M to $0Oct 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $132M to $144MOct 31, 2023 to Mar 27, 2024
- RAUM · $132M to $144MOct 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $58.2M to $128MMar 19, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $12.7M to $4.1MMar 19, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $70.9M to $132MMar 19, 2022 to Mar 30, 2023
- RAUM · $70.9M to $132MMar 19, 2022 to Mar 30, 2023
- Accounts · 6 to 5Mar 16, 2021 to Mar 19, 2022
- Pooled vehicle clients · 6 to 5Mar 16, 2021 to Mar 19, 2022
- Discretionary RAUM · $70.6M to $58.2MMar 16, 2021 to Mar 19, 2022
- Non-discretionary RAUM · $12.8M to $12.7MMar 16, 2021 to Mar 19, 2022
- Pooled vehicle RAUM · $83.4M to $70.9MMar 16, 2021 to Mar 19, 2022
- RAUM · $83.4M to $70.9MMar 16, 2021 to Mar 19, 2022
- Discretionary RAUM · $40.3M to $70.6MMar 28, 2020 to Mar 16, 2021
- Non-discretionary RAUM · $48.2M to $12.8MMar 28, 2020 to Mar 16, 2021
- Pooled vehicle RAUM · $88.5M to $83.4MMar 28, 2020 to Mar 16, 2021
- RAUM · $88.5M to $83.4MMar 28, 2020 to Mar 16, 2021
- Accounts · 8 to 6Oct 2, 2019 to Mar 28, 2020
- Pooled vehicle clients · 8 to 6Oct 2, 2019 to Mar 28, 2020
- Discretionary RAUM · $136M to $40.3MOct 2, 2019 to Mar 28, 2020
- Non-discretionary RAUM · $43.3M to $48.2MOct 2, 2019 to Mar 28, 2020
- Pooled vehicle RAUM · $180M to $88.5MOct 2, 2019 to Mar 28, 2020
Signals
7 dated events
- S•••• A••• I••••••••• A••••••• L•••••• reported RAUM $11.6M, down 92% from $144.4M (2024-03-27 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- F••••••• Akiyama (Director) no longer on Schedule A of S•••• A••• I••••••••• A••••••• L•••••• (listed 2023-10-31, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Tadahiro Fujimura (Director) no longer on Schedule A of S•••• A••• I••••••••• A••••••• L•••••• (listed 2023-10-31, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Y••••• F••••••• (President And Director) appeared on Schedule A of S•••• A••• I••••••••• A••••••• L••••••Mar 27, 2024 · Control person joined · fact
- H•••••• M•••••••• (Director) no longer on Schedule A of S•••• A••• I••••••••• A••••••• L•••••• (listed 2022-03-19, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- (Nmn) H•••••• M•••••••• (Director) appeared on Schedule A of S•••• A••• I••••••••• A••••••• L••••••Mar 30, 2023 · Control person joined · fact
- Hideo Brian Morikuni (Director) no longer on Schedule A of S•••• A••• I••••••••• A••••••• L•••••• (listed 2019-03-28, absent 2019-10-02)Oct 2, 2019 · Control person left · inference
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
- Website
- s••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 852-3102-7500reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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