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

Former SEC-registered adviserSingapore, CRD 159987SEC 801-73348IAPD
Latest filing Mar 27, 2020
First filing on the tape Feb 13, 2012 · 17 filings
RAUM
$0
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
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$287M gross assets
History
17 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2020
Mar 28, 2013$630M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 28, 20130 then
Employees (5.A)3 as of Mar 27, 2020
Mar 28, 20134 then
Private funds1 as of Mar 27, 2020
Mar 28, 20131 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2020; 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%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
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
0reported
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
      • B••• S••••• · Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • L•• L•• F•••• N•• · Chief Operating Officercontrol
        since 05/2010 · owns less than 5%
      • N•• T••• H••• N•• · Directorcontrol
        since 10/2011 · owns less than 5%
      • W•••• K•••••••• N•• · Director/Shareholdercontrol
        since 10/2009 · owns 25% to 50%
      • W•••• L•• E••• N•• · Director/Shareholdercontrol
        since 10/2011 · owns 25% to 50%
      • Z••••• Q•••• N•• · Shareholder/Chief Investment Officercontrol
        since 09/2007 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Singapore, Singapore21 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 0
        Mar 28, 2019 to Mar 27, 2020
      • Discretionary RAUM · $557M to $0
        Mar 28, 2019 to Mar 27, 2020
      • RAUM · $557M to $0
        Mar 28, 2019 to Mar 27, 2020
      • Advisory employees · 2 to 3
        Mar 29, 2018 to Mar 28, 2019
      • Employees · 2 to 3
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $740M to $557M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $740M to $557M
        Mar 29, 2018 to Mar 28, 2019
      • Accounts · 2 to 1
        Mar 29, 2017 to Mar 29, 2018
      • Advisory employees · 4 to 2
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 5 to 2
        Mar 29, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 29, 2017 to Mar 29, 2018
      • Discretionary RAUM · $754M to $740M
        Mar 29, 2017 to Mar 29, 2018
      • RAUM · $754M to $740M
        Mar 29, 2017 to Mar 29, 2018
      • Employees · 4 to 5
        Mar 28, 2017 to Mar 29, 2017
      • Advisory employees · 5 to 4
        Dec 21, 2016 to Mar 28, 2017
      • Employees · 6 to 4
        Dec 21, 2016 to Mar 28, 2017
      • Discretionary RAUM · $868M to $754M
        Dec 21, 2016 to Mar 28, 2017
      • RAUM · $868M to $754M
        Dec 21, 2016 to Mar 28, 2017
      • Discretionary RAUM · $932M to $868M
        Jan 6, 2016 to Mar 28, 2016
      • RAUM · $932M to $868M
        Jan 6, 2016 to Mar 28, 2016
      • Advisory employees · 6 to 5
        Mar 27, 2014 to Mar 30, 2015
      • Employees · 7 to 6
        Mar 27, 2014 to Mar 30, 2015
      • Discretionary RAUM · $856M to $932M
        Mar 27, 2014 to Mar 30, 2015
      • RAUM · $856M to $932M
        Mar 27, 2014 to Mar 30, 2015
      • Advisory employees · 3 to 6
        Feb 11, 2014 to Mar 27, 2014
      • Employees · 4 to 7
        Feb 11, 2014 to Mar 27, 2014
      • Discretionary RAUM · $630M to $856M
        Feb 11, 2014 to Mar 27, 2014
      • RAUM · $630M to $856M
        Feb 11, 2014 to Mar 27, 2014
      • Related adviser · false to true
        Feb 11, 2014 to Mar 27, 2014
      • Related bank · false to true
        Feb 11, 2014 to Mar 27, 2014
      • Organization form · Limited Liability Company to Other (specify)
        Mar 28, 2013 to May 13, 2013
      • Organization form · Other (specify) to Limited Liability Company
        Jan 2, 2013 to Mar 28, 2013
      • Discretionary RAUM · $513M to $630M
        Jan 2, 2013 to Mar 28, 2013
      • RAUM · $513M to $630M
        Jan 2, 2013 to Mar 28, 2013
      • Advisory employees · unset to 3.0
        Feb 29, 2012 to Jan 2, 2013
      • BD registered reps · unset to 0.0
        Feb 29, 2012 to Jan 2, 2013
      • Employees · unset to 4.0
        Feb 29, 2012 to Jan 2, 2013
      • State-registered IARs · unset to 0.0
        Feb 29, 2012 to Jan 2, 2013
      Signals
      1 dated events
      • A•• A•••• M••••••••• I••••••••• L•••••• reported RAUM $0, down 100% from $557.1M (2019-03-28 to 2020-03-27)
        Mar 27, 2020 · RAUM change · 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