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

L••• G••••• I•••••••• L••••••

Former SEC-registered adviserSingapore, CRD 159144SEC 801-72993IAPD
Latest filing May 24, 2016
First filing on the tape Dec 19, 2011 · 16 filings
RAUM
$26B
reported, Item 5.F
Discretionary
92%
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
145
73 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$26B as of Mar 29, 2016
Mar 27, 2013$25B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Mar 27, 20130 then
Employees (5.A)145 as of Mar 29, 2016
Mar 27, 2013140 then
Private funds: no history
RAUM +0.3% over the last fiscal year+0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 24, 2016; 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
$147MderivedRAUM over accounts (5.F.2.f)
Discretionary
92%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
+0.3%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 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
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
175reported
Financial planning clients
0reported
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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• P•••••••• P•• L•• · Chief Marketing Officercontrol
        since 06/2013 · owns less than 5%
      • C••••• W•• H••• · Directorcontrol
        since 07/2010 · owns less than 5%
      • I•• N•••••• K• C••••• · Directorcontrol
        since 06/2011 · owns less than 5%
      • K•••• H••• S••• · Directorcontrol
        since 01/2016 · owns less than 5%
      • L••• G•••••• L•• W•• · Directorcontrol
        since 08/2012 · owns less than 5%
      • L••• G•••••• H•• C•••• · Chief Executive Officer/Chief Investment Officercontrol
        since 11/2010 · owns less than 5%
      • T••• J••••• T•••• P••• · Chief Operating Officercontrol
        since 04/2007 · owns less than 5%
      • T••• S••• P••• · Directorcontrol
        since 02/2012 · owns less than 5%
      • T••• J•• W•• · Chief Strategistcontrol
        since 07/2014 · owns less than 5%
      • Y•••• M•• T••• · Directorcontrol
        since 02/2010 · owns less than 5%
      • L••• B••• T•• · Chief Compliance Officer
        since 03/2016 · owns less than 5%
      Entity owners
      • G•••• E•••••• H••••••• L•••••• · Owner
        direct · owns 50% to 75%
      • O••••• H••••••• P•••••• L•••••• · Owner
        direct · owns 25% to 50%
      • O••••••••• B•••••• C••••••••• L•••••• · Owner
        indirect · owns 75% or more of O••••• H••••••• P•••••• L••••••
      Related persons
      Schedule D 7.A
      • B••• O• S•••••••• L••••••
        n
      • G•••• E•••••• H••••••• L••••••
        real estatey
      • O••• S••••••••• P•••••• L••••••
        broker-dealern
      • O••••••••• B•••••• C••••••••• L••••••
        y
      • P•••••• M••••• F••• B••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • Bandar Seri Begawan, Brunei
      What changed
      consecutive filings, newest first
      • Accounts · 178 to 175
        Mar 1, 2016 to Mar 29, 2016
      • Advisory employees · 43 to 73
        Mar 1, 2016 to Mar 29, 2016
      • Employees · 138 to 145
        Mar 1, 2016 to Mar 29, 2016
      • Discretionary RAUM · $23B to $24B
        Mar 1, 2016 to Mar 29, 2016
      • Non-discretionary RAUM · $2.2B to $2.0B
        Mar 1, 2016 to Mar 29, 2016
      • RAUM · $26B to $26B
        Mar 1, 2016 to Mar 29, 2016
      • Accounts · 182 to 178
        Oct 28, 2014 to Mar 19, 2015
      • Advisory employees · 42 to 43
        Oct 28, 2014 to Mar 19, 2015
      • Employees · 142 to 138
        Oct 28, 2014 to Mar 19, 2015
      • Discretionary RAUM · $22B to $23B
        Oct 28, 2014 to Mar 19, 2015
      • Non-discretionary RAUM · $2.1B to $2.2B
        Oct 28, 2014 to Mar 19, 2015
      • RAUM · $24B to $26B
        Oct 28, 2014 to Mar 19, 2015
      • Accounts · 184 to 182
        Jun 13, 2013 to Mar 6, 2014
      • Advisory employees · 60 to 42
        Jun 13, 2013 to Mar 6, 2014
      • Employees · 140 to 142
        Jun 13, 2013 to Mar 6, 2014
      • Discretionary RAUM · $24B to $22B
        Jun 13, 2013 to Mar 6, 2014
      • Non-discretionary RAUM · $1.8B to $2.1B
        Jun 13, 2013 to Mar 6, 2014
      • RAUM · $25B to $24B
        Jun 13, 2013 to Mar 6, 2014
      • Accounts · 227 to 184
        Jan 22, 2013 to Mar 27, 2013
      • Discretionary RAUM · $21B to $24B
        Jan 22, 2013 to Mar 27, 2013
      • Non-discretionary RAUM · $1.8B to $1.8B
        Jan 22, 2013 to Mar 27, 2013
      • RAUM · $23B to $25B
        Jan 22, 2013 to Mar 27, 2013
      • Advisory employees · unset to 60.0
        Aug 8, 2012 to Jan 22, 2013
      • BD registered reps · unset to 0.0
        Aug 8, 2012 to Jan 22, 2013
      • Employees · unset to 140.0
        Aug 8, 2012 to Jan 22, 2013
      • State-registered IARs · unset to 0.0
        Aug 8, 2012 to Jan 22, 2013
      • Accounts · 183 to 227
        Dec 19, 2011 to Mar 14, 2012
      • Discretionary RAUM · $21B to $21B
        Dec 19, 2011 to Mar 14, 2012
      • Non-discretionary RAUM · $1.9B to $1.8B
        Dec 19, 2011 to Mar 14, 2012
      • RAUM · $23B to $23B
        Dec 19, 2011 to Mar 14, 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