DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

A••••••• I••••••••• M••••••••• L••••••

Former SEC-registered adviserHong Kong, CRD 155341SEC 801-71944IAPD

Latest filing May 30, 2019

First filing on the tape Nov 14, 2011 · 15 filings

RAUM

$524M

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

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$64.2M gross assets

History

15 filings and snapshots on the tape

RAUM$524M as of May 30, 2019

Jun 1, 2012$3.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of May 30, 2019

Jun 28, 20130 then

Employees (5.A)17 as of May 30, 2019

Jun 28, 201322 then

Private funds2 as of May 30, 2019

Jun 1, 20124 then

RAUM -41% over the last fiscal year-5.1% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 30, 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: $34.9MderivedRAUM 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: -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

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

Pooled investment vehicles$480M92%
Corporations and businesses$43.7M8.3%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 15reported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
A••••••• C•••• F•••	Other Private Fund	$36.8M	50	Mar 29, 2012
R•••••••• F•••••• F•••no longer reported	Hedge Fund	$34.0M	20	Jun 1, 2012
A••••••• C•••• H••••••••• F•••	Hedge Fund	$27.4M	41	Mar 29, 2012
A••••••• N•• C•••• F•••••• F•••no longer reported	Other Private Fund	$17.9M	137	Mar 29, 2012

Owners and control persons

Schedule A and B, latest filing

C•••• L•• S•• R•••••• · Chief Operating Officercontrol
since 05/2018 · owns less than 5%
L••• Y•••• N•• · Chairmancontrol
since 08/2002 · owns less than 5%
L••• Y•••• N•• · Ownercontrol
since 09/2010 · owns 75% or more of A••••••• C•••••• H••••••• L••••••
H••••• W•••••• · General Counsel
since 08/2018 · owns less than 5%
M•••••••• G•••••• J••• · Director
since 10/2000 · owns less than 5%

Entity owners

A••••••• C•••••• H••••••• L•••••• · Owner
direct · owns 75% or more

Related persons

Schedule D 7.A

A••••••• I••••••••• M••••••••• •••••••• L•••
bankpooled vehicle sponsorn
A••••••• I••••••••• M••••••••• ••••••••• P••• L•••
investment advisernRAUM $203M
C•••••• I••••••••• M••••••••• •••• K•••• L••••••
investment advisern
C•••••• I••••••••• M••••••••• L•••
investment advisern
R•••••••• A•••• M••••••••• ••••••• L•••
bankpooled vehicle sponsorn
S••••• C•••••• ••••••• L•••
pooled vehicle sponsorn

Advisers that list A••••••• I••••••••• M••••••••• L•••••• as a related person

168850 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Business name · A••••••• I••••••••• M••••••••• •••• K•••• L•• to A••••••• I••••••••• M••••••••• L••••••
Jul 2, 2018 to May 30, 2019
Legal name · A••••••• I••••••••• M••••••••• •••• K•••• L•• to A••••••• I••••••••• M••••••••• L••••••
Jul 2, 2018 to May 30, 2019
Discretionary RAUM · $882M to $524M
Jul 2, 2018 to May 30, 2019
Pooled vehicle RAUM · $814M to $480M
Jul 2, 2018 to May 30, 2019
RAUM · $882M to $524M
Jul 2, 2018 to May 30, 2019
Accounts · 13 to 15
Jun 21, 2017 to Jul 2, 2018
Advisory employees · 7 to 8
Jun 21, 2017 to Jul 2, 2018
Pooled vehicle clients · unset to 13.0
Jun 21, 2017 to Jul 2, 2018
Assets in custody · 0.0 to unset
Jun 21, 2017 to Jul 2, 2018
Custody of client assets · true to false
Jun 21, 2017 to Jul 2, 2018
Employees · 15 to 17
Jun 21, 2017 to Jul 2, 2018
Other offices · unset to 0.0
Jun 21, 2017 to Jul 2, 2018
Discretionary RAUM · $485M to $882M
Jun 21, 2017 to Jul 2, 2018
Pooled vehicle RAUM · unset to 813938433.0
Jun 21, 2017 to Jul 2, 2018
RAUM · $485M to $882M
Jun 21, 2017 to Jul 2, 2018
Advisory employees · 8 to 7
Jun 24, 2016 to Jun 21, 2017
Employees · 17 to 15
Jun 24, 2016 to Jun 21, 2017
Discretionary RAUM · $613M to $485M
Jun 24, 2016 to Jun 21, 2017
RAUM · $613M to $485M
Jun 24, 2016 to Jun 21, 2017
Accounts · 15 to 13
Jun 25, 2015 to Jun 24, 2016
Employees · 15 to 17
Jun 25, 2015 to Jun 24, 2016
Discretionary RAUM · $872M to $613M
Jun 25, 2015 to Jun 24, 2016
RAUM · $872M to $613M
Jun 25, 2015 to Jun 24, 2016
Accounts · 17 to 15
Jul 2, 2014 to Jun 25, 2015
Advisory employees · 12 to 8
Jul 2, 2014 to Jun 25, 2015
Employees · 22 to 15
Jul 2, 2014 to Jun 25, 2015
Discretionary RAUM · $1.2B to $872M
Jul 2, 2014 to Jun 25, 2015
RAUM · $1.2B to $872M
Jul 2, 2014 to Jun 25, 2015
Accounts · 19 to 17
Jan 29, 2014 to Jul 2, 2014
Advisory employees · 13 to 12
Jan 29, 2014 to Jul 2, 2014
Advisory activities · 3 to 2
Jan 29, 2014 to Jul 2, 2014
Private funds · 3 to 2
Jan 29, 2014 to Jul 2, 2014
Discretionary RAUM · $3.2B to $1.2B
Jan 29, 2014 to Jul 2, 2014
RAUM · $3.2B to $1.2B
Jan 29, 2014 to Jul 2, 2014
Advisory employees · 12 to 13
Jan 30, 2013 to Jun 28, 2013
Assets in custody · $533M to $0
Jan 30, 2013 to Jun 28, 2013
Employees · 20 to 22
Jan 30, 2013 to Jun 28, 2013
Private funds · 4 to 3
Jan 30, 2013 to Jun 28, 2013
Discretionary RAUM · $3.1B to $3.2B
Jan 30, 2013 to Jun 28, 2013
RAUM · $3.1B to $3.2B
Jan 30, 2013 to Jun 28, 2013

Signals

2 dated events

A••••••• I••••••••• M••••••••• L•••••• reported RAUM $524.1M, down 41% from $881.8M (2018-07-02 to 2019-05-30)
May 30, 2019 · ria raum c•••ge · derived
A••••••• I••••••••• M••••••••• L•••••• reported RAUM $881.8M, up 82% from $485.5M (2017-06-21 to 2018-07-02)
Jul 2, 2018 · ria raum c•••ge · derived

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