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

A•••••••• I••••••••• M••••••••• C••

Former SEC-registered adviserSeongnam-Si, Gyeonggi-Do, CRD 149990SEC 801-70218IAPD
Latest filing Jul 5, 2018
First filing on the tape Mar 19, 2012 · 10 filings
RAUM
n/a
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
61
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$202M as of May 24, 2017
Mar 19, 2012$844M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 19, 20120 then
Employees (5.A)61 as of Mar 29, 2018
Apr 2, 201340 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 5, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
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 individuals, portfolio management for businesses and institutionsreportedItem 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)
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
n/areported
Financial planning clients
0reported
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
      • C•••• T•••••• · Executive Directorcontrol
        since 05/2016 · owns less than 5%
      • K•••• B••••••• · Chairmancontrol
        since 01/2006 · owns 25% to 50%
      • S••••• H•••••• · Chief Financial Officercontrol
        since 07/2017 · owns less than 5%
      • Y•••• I••••• · Chief Strategy Officercontrol
        since 05/2016 · owns less than 5%
      • Y•••• J•••• · Chief Executive Officercontrol
        since 03/2017 · owns less than 5%
      • Y•••• J•••••• · Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      • K•••• S••••••• · Share Holder
        since 03/2008 · owns 5% to 10%
      • L••• T••••••• · Share Holder
        since 01/2007 · owns 10% to 25%
      • L••• H••••• · Share Holder
        since 03/1999 · owns 5% to 10%
      • N••• O••••• · Share Horder
        since 03/1999 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Advisers that list A•••••••• I••••••••• M••••••••• C•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Related adviser · false to true
        Mar 29, 2018 to Jul 5, 2018
      • Accounts · 10212.0 to unset
        May 24, 2017 to Mar 29, 2018
      • Advisory employees · 20 to 23
        May 24, 2017 to Mar 29, 2018
      • Employees · 65 to 61
        May 24, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 24, 2017 to Mar 29, 2018
      • Discretionary RAUM · 14982505.0 to unset
        May 24, 2017 to Mar 29, 2018
      • Non-discretionary RAUM · 186743900.0 to unset
        May 24, 2017 to Mar 29, 2018
      • RAUM · 201726405.0 to unset
        May 24, 2017 to Mar 29, 2018
      • Related adviser · true to false
        May 24, 2017 to Mar 29, 2018
      • Accounts · 11,123 to 10,212
        Oct 7, 2016 to May 24, 2017
      • Advisory employees · 10 to 20
        Oct 7, 2016 to May 24, 2017
      • Employees · 66 to 65
        Oct 7, 2016 to May 24, 2017
      • Discretionary RAUM · $2.8B to $15.0M
        Oct 7, 2016 to May 24, 2017
      • Non-discretionary RAUM · $1.5B to $187M
        Oct 7, 2016 to May 24, 2017
      • RAUM · $4.3B to $202M
        Oct 7, 2016 to May 24, 2017
      • Accounts · 11,465 to 11,123
        Aug 24, 2016 to Oct 7, 2016
      • Advisory employees · 13 to 10
        Aug 24, 2016 to Oct 7, 2016
      • Employees · 40 to 66
        Aug 24, 2016 to Oct 7, 2016
      • HQ city · SEOUL to S••••NAM-SI, GYEONGGI-DO
        Aug 24, 2016 to Oct 7, 2016
      • Discretionary RAUM · $2.1B to $2.8B
        Aug 24, 2016 to Oct 7, 2016
      • Non-discretionary RAUM · $2.2B to $1.5B
        Aug 24, 2016 to Oct 7, 2016
      • RAUM · $4.3B to $4.3B
        Aug 24, 2016 to Oct 7, 2016
      • Related adviser · false to true
        Aug 24, 2016 to Oct 7, 2016
      • Accounts · 12,277 to 10,506
        Aug 11, 2016 to Aug 24, 2016
      • Discretionary RAUM · $518M to $1.2B
        Aug 11, 2016 to Aug 24, 2016
      • Non-discretionary RAUM · $165M to $470M
        Aug 11, 2016 to Aug 24, 2016
      • RAUM · $683M to $1.6B
        Aug 11, 2016 to Aug 24, 2016
      • Accounts · 10,506 to 11,465
        Aug 24, 2016 to Aug 24, 2016
      • Discretionary RAUM · $1.2B to $2.1B
        Aug 24, 2016 to Aug 24, 2016
      • Non-discretionary RAUM · $470M to $2.2B
        Aug 24, 2016 to Aug 24, 2016
      • RAUM · $1.6B to $4.3B
        Aug 24, 2016 to Aug 24, 2016
      • Accounts · 12,467 to 12,277
        Mar 19, 2012 to Apr 2, 2013
      • Advisory employees · unset to 13.0
        Mar 19, 2012 to Apr 2, 2013
      • Employees · unset to 40.0
        Mar 19, 2012 to Apr 2, 2013
      • Discretionary RAUM · $591M to $518M
        Mar 19, 2012 to Apr 2, 2013
      • Non-discretionary RAUM · $253M to $165M
        Mar 19, 2012 to Apr 2, 2013
      • RAUM · $844M to $683M
        Mar 19, 2012 to Apr 2, 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