DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

S••• A••••••• L••••••

Former SEC-registered adviserCentral, CRD 153840SEC 801-71568IAPD

Latest filing Mar 30, 2017

First filing on the tape Dec 8, 2011 · 10 filings

RAUM

$2.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

16 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$2.0B gross assets

History

10 filings and snapshots on the tape

RAUM$2.0B as of Mar 28, 2017

Mar 29, 2012$1.9B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2017

Mar 27, 20130 then

Employees (5.A)29 as of Mar 28, 2017

Mar 27, 201332 then

Private funds5 as of Mar 28, 2017

Mar 29, 20125 then

RAUM -4.0% over the last fiscal year-2.9% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2017; 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: $403MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: -4.0%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, otherreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $2.0B, 5 clientsreportedItem 9.A
Ownership: a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
an independent public accountant performs a surprise examination (9.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: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $2.0B for 5 clientsreported
Compensation: % of AUMreported
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 departure Every arrival

Private funds

5 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••• F••••••• F•••	Hedge Fund	$1.0B	13	Mar 29, 2012
S••• M••••••••• F••• • T••••	Hedge Fund	$669M	22	Mar 29, 2012
S••• M••••••••• F••• S•• L••• • A••• P•••••• M••••••• F•••	Hedge Fund	$156M	7	Mar 29, 2012
S••• S••••••••• S••••••••• F••• S•• • A••• E••••• A•••• F•••	Hedge Fund	$109M	3	Mar 29, 2012
S••• M••••••••• F••• S•• L••• • E••••••• M••••••• F•••	Hedge Fund	$38.1M	2	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

L•• Y•••••• · Chief Operating Officer / Chief Compliance Officercontrol
since 04/2007 · owns less than 5%
W••••••••• J•••• M• · Chief Executive Officercontrol
since 11/2011 · owns less than 5%
Y•••• H•••••• S••••• · Chief Investment Officer & Managing Directorcontrol
since 07/2009 · owns less than 5%
T•••• A•••• S• · Head Of Risk Management
since 09/2015 · owns less than 5%

Entity owners

S••• A••••••• G•••• L•••••• · Owner
direct · owns 75% or more
S••• A••••••• G•••• L•••••• · Owner
indirect · owns 75% or more of S••• A••••••• L••••••
S••••• I••••••••• O••••• L•••••• · Shareholder
indirect · owns 75% or more of S••• A••••••• G•••• L••••••
T•• M•••••• T•••• · Shareholder
indirect · owns 75% or more of S••••• I••••••••• O••••• L••••••
T•• M••••••• T•••• C•••••• · Trustee
indirect · owns 75% or more of T•• M•••••• T••••

Related persons

Schedule D 7.A

S••• F••••••• M••••••••• L•••••• ••••
bankpooled vehicle sponsorn
S••• I••••••••• M••••••••• L•••••• •••••• I••••••
bankpooled vehicle sponsorn
S••• P•••••• E••••••• M••••••••• L•••••• •••••••
bankpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

New York, NY

What changed

consecutive filings, newest first

Assets in custody · $2.1B to $2.0B
Apr 12, 2016 to Mar 28, 2017
Employees · 31 to 29
Apr 12, 2016 to Mar 28, 2017
Discretionary RAUM · $2.1B to $2.0B
Apr 12, 2016 to Mar 28, 2017
RAUM · $2.1B to $2.0B
Apr 12, 2016 to Mar 28, 2017
Assets in custody · $2.2B to $2.1B
Mar 26, 2015 to Mar 21, 2016
Employees · 29 to 31
Mar 26, 2015 to Mar 21, 2016
Discretionary RAUM · $2.2B to $2.1B
Mar 26, 2015 to Mar 21, 2016
RAUM · $2.2B to $2.1B
Mar 26, 2015 to Mar 21, 2016
Advisory employees · 17 to 16
Mar 4, 2014 to Mar 26, 2015
Employees · 34 to 29
Mar 4, 2014 to Mar 26, 2015
Advisory employees · 16 to 17
Mar 27, 2013 to Mar 4, 2014
Assets in custody · $2.0B to $2.2B
Mar 27, 2013 to Mar 4, 2014
Employees · 32 to 34
Mar 27, 2013 to Mar 4, 2014
Discretionary RAUM · $2.0B to $2.2B
Mar 27, 2013 to Mar 4, 2014
RAUM · $2.0B to $2.2B
Mar 27, 2013 to Mar 4, 2014
Advisory employees · unset to 16.0
Apr 17, 2012 to Mar 27, 2013
Assets in custody · $1.9B to $2.0B
Apr 17, 2012 to Mar 27, 2013
Employees · unset to 32.0
Apr 17, 2012 to Mar 27, 2013
State-registered IARs · unset to 0.0
Apr 17, 2012 to Mar 27, 2013
Discretionary RAUM · $1.9B to $2.0B
Apr 17, 2012 to Mar 27, 2013
RAUM · $1.9B to $2.0B
Apr 17, 2012 to Mar 27, 2013
Related adviser · true to false
Apr 17, 2012 to Mar 27, 2013
Related bank · false to true
Apr 17, 2012 to Mar 27, 2013
Assets in custody · $2.0B to $1.9B
Dec 8, 2011 to Mar 29, 2012
Insurance-licensed employees · unset to 0.0
Dec 8, 2011 to Mar 29, 2012
HQ city · HONG KONG to CENTRAL
Dec 8, 2011 to Mar 29, 2012
Private funds · unset to 5
Dec 8, 2011 to Mar 29, 2012
Discretionary RAUM · $1.9B to $1.9B
Dec 8, 2011 to Mar 29, 2012
RAUM · $1.9B to $1.9B
Dec 8, 2011 to Mar 29, 2012

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