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

F••••••• T•••••••• I••••••••• T•••• M••••••••• C••• L•••

Former SEC-registered adviserSeoul, CRD 155095SEC 801-71877IAPD
Latest filing Jan 9, 2019
First filing on the tape Nov 15, 2011 · 20 filings
RAUM
$5.4B
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
49
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$5.4B as of Jun 28, 2018
Jun 28, 2012$7.0B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jun 28, 2018
Jun 28, 20120 then
Employees (5.A)49 as of Jun 28, 2018
Jun 26, 201369 then
Private funds: no history
RAUM -19% over the last fiscal year-6.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 9, 2019; 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
$42.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
67%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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
  • Sovereign wealth funds$3.1B59%
  • Pooled investment vehicles$1.4B26%
  • Insurance companies$475M8.9%
  • Corporations and businesses$358M6.7%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
128reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• M•••• B•••• · Executive Director And Representative Directorcontrol
        since 11/2018 · owns less than 5%
      • J•••• Y••• B••• N•• · President, Chief Executive Officer And Representative Directorcontrol
        since 07/2010 · owns less than 5%
      • L••• S•• K•••• N•• · Non-Standing Directorcontrol
        since 09/2013 · owns less than 5%
      • O•• S••• S••• N•• · Chief Investment Officer - Equitycontrol
        since 07/2002 · owns less than 5%
      • C•••• Y••• R••• N•• · Compliance Officer
        since 07/2015 · owns less than 5%
      Entity owners
      • F••••••• T•••••••• C•••••• H••••••• P•••••• L•••••• · Shareholder
        direct · owns 75% or more
      • F••••••• R••••••••• I••• · Shareholder
        indirect · owns 75% or more of T•••••••• W••••••••• I••• · public reporting company
      • T•••••••• I••••••••• I••• · Shareholder
        indirect · owns 75% or more of F••••••• T•••••••• C•••••• H••••••• P•••••• L••••••
      • T•••••••• W••••••••• I••• · Shareholder
        indirect · owns 75% or more of T•••••••• I••••••••• I•••
      Related persons
      Schedule D 7.A
      Advisers that list F••••••• T•••••••• I••••••••• T•••• M••••••••• C••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 134 to 128
        Jan 29, 2018 to Jun 28, 2018
      • Advisory employees · 15 to 16
        Jan 29, 2018 to Jun 28, 2018
      • Advisory activities · 2 to 3
        Jan 29, 2018 to Jun 28, 2018
      • Corporate clients · 0 to 8
        Jan 29, 2018 to Jun 28, 2018
      • Pooled vehicle clients · 0 to 81
        Jan 29, 2018 to Jun 28, 2018
      • Employees · 56 to 49
        Jan 29, 2018 to Jun 28, 2018
      • Discretionary RAUM · $6.6B to $5.4B
        Jan 29, 2018 to Jun 28, 2018
      • Pooled vehicle RAUM · $0 to $1.4B
        Jan 29, 2018 to Jun 28, 2018
      • RAUM · $6.6B to $5.4B
        Jan 29, 2018 to Jun 28, 2018
      • Charity clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Corporate clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • HNW clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Individual clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Pension plan clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Pooled vehicle clients · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Other offices · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • HNW RAUM · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Individual RAUM · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Pension RAUM · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Jun 26, 2017 to Jan 29, 2018
      • Accounts · 147 to 134
        Jun 22, 2016 to Jun 26, 2017
      • Advisory employees · 16 to 15
        Jun 22, 2016 to Jun 26, 2017
      • Employees · 65 to 56
        Jun 22, 2016 to Jun 26, 2017
      • Discretionary RAUM · $6.2B to $6.6B
        Jun 22, 2016 to Jun 26, 2017
      • RAUM · $6.2B to $6.6B
        Jun 22, 2016 to Jun 26, 2017
      • Accounts · 167 to 147
        Feb 4, 2016 to Jun 22, 2016
      • Employees · 66 to 65
        Feb 4, 2016 to Jun 22, 2016
      • Discretionary RAUM · $6.6B to $6.2B
        Feb 4, 2016 to Jun 22, 2016
      • RAUM · $6.6B to $6.2B
        Feb 4, 2016 to Jun 22, 2016
      • Accounts · 221 to 167
        Apr 9, 2015 to Jun 17, 2015
      • Advisory employees · 19 to 16
        Apr 9, 2015 to Jun 17, 2015
      • Employees · 70 to 66
        Apr 9, 2015 to Jun 17, 2015
      • Discretionary RAUM · $7.1B to $6.6B
        Apr 9, 2015 to Jun 17, 2015
      • RAUM · $7.1B to $6.6B
        Apr 9, 2015 to Jun 17, 2015
      • Accounts · 227 to 221
        Feb 25, 2014 to Jun 20, 2014
      • Advisory employees · 18 to 19
        Feb 25, 2014 to Jun 20, 2014
      • Employees · 69 to 70
        Feb 25, 2014 to Jun 20, 2014
      • Discretionary RAUM · $7.1B to $7.1B
        Feb 25, 2014 to Jun 20, 2014
      • RAUM · $7.1B to $7.1B
        Feb 25, 2014 to Jun 20, 2014
      • Accounts · 229 to 227
        Jun 28, 2012 to Jun 26, 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