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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SEC-registered adviser
U•• G••••• C•••••• L••
Latest filing Mar 28, 2026
First filing on the tape Feb 14, 2012 · 16 filings
SEC status approved since Mar 30, 2012
RAUM
$96.8M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$96.8M as of Mar 28, 2026
Apr 1, 2013$170M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2026
Apr 1, 20130 then
Employees (5.A)7 as of Mar 28, 2026
Apr 1, 20138 then
Private funds3 as of Mar 28, 2026
Apr 1, 20132 then
RAUM +9.3% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $32.3MderivedRAUM 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
- +9.3%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, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $82.3M, 3 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$96.8M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $82.3M for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=7.0derived
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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• C•••• I••••••••• F••• ••• I•• L••• | Private Equity Fund | $30.2M | 9 | Mar 25, 2019 |
| A•••• C•••• I••••••••• F••• ••• I••• L••• | Private Equity Fund | $26.3M | 7 | Mar 29, 2016 |
| A•••• C•••• I••••••••• F••• ••• V• L••• | Private Equity Fund | $13.5M | 6 | Mar 28, 2022 |
| A•••• C•••• I••••••••• F••• L•••no longer reported | Private Equity Fund | $755,852 | 7 | Feb 14, 2012 |
| A•••• C•••• I••••••••• F••• I•• L•••no longer reported | Private Equity Fund | $36,621 | 27 | Feb 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• H•••••• C•••• · Chief Compliance Officercontrolsince 10/1998 · owns less than 5%
- D•••••••• E•••••• · Board Membercontrolsince 12/2015 · owns less than 5%
- G••• Y• M•• · Board Membercontrolsince 06/2024 · owns less than 5%
- G•••• D••••• T•••• · Manager/Board Membercontrolsince 10/1998 · owns less than 5%
- L•••••• M••••••• B••••• · Manager/Board Membercontrolsince 10/1998 · owns less than 5%
- L••••• Y••• C••• · Board Membercontrolsince 06/2024 · owns less than 5%
- G•••• D••••• T•••• · Membercontrolsince 10/1998 · owns 25% to 50% of T••••• M••••••••• C•• L••
- L•••••• M••••••• B••••• · Membercontrolsince 10/1998 · owns 25% to 50% of T••••• M••••••••• C•• L••
Entity owners
- T••••• M••••••••• C•• L•• · Memberdirect · owns 25% to 50%
- U•• H••••••• ••••• I•• · Memberdirect · owns 50% to 75%
- U••••• O••••••• B••• L•••••• · Indirect Parentindirect · owns 50% to 75% of Uob Holdings (USA) Inc. · public reporting company
Related persons
Schedule D 7.A
- U••••• H•••••••• U• R••• M••••••••• P••• L•••investment advisery
- U••••• O••••••• B••• L••••••investment advisery
- U•• A•••• M••••••••• L••••••investment advisern
- U•• C•••••• P••••••• L•• ••••••• A•••••••investment adviserpooled vehicle sponsory
- U•• G••••• E••••• S•••• L••broker-dealery
- U•• K•• H••• P•• L••••••broker-dealern
- U•• V•••••• M••••••••• P•• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $70.2M to $82.3MMar 28, 2025 to Mar 28, 2026
- Discretionary RAUM · $88.6M to $96.8MMar 28, 2025 to Mar 28, 2026
- Pooled vehicle RAUM · $88.6M to $96.8MMar 28, 2025 to Mar 28, 2026
- RAUM · $88.6M to $96.8MMar 28, 2025 to Mar 28, 2026
- Assets in custody · $70.0M to $70.2MJun 17, 2024 to Mar 28, 2025
- Financial planning clients · unset to Jun 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $95.9M to $88.6MJun 17, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $95.9M to $88.6MJun 17, 2024 to Mar 28, 2025
- RAUM · $95.9M to $88.6MJun 17, 2024 to Mar 28, 2025
- Assets in custody · $76.6M to $70.0MMar 23, 2023 to Mar 19, 2024
- Discretionary RAUM · $110M to $95.9MMar 23, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $110M to $95.9MMar 23, 2023 to Mar 19, 2024
- RAUM · $110M to $95.9MMar 23, 2023 to Mar 19, 2024
- Accounts · 4 to 3Mar 28, 2022 to Mar 23, 2023
- BD registered reps · 8 to 7Mar 28, 2022 to Mar 23, 2023
- Pooled vehicle clients · 4 to 3Mar 28, 2022 to Mar 23, 2023
- Assets in custody · $98.3M to $76.6MMar 28, 2022 to Mar 23, 2023
- Employees · 8 to 7Mar 28, 2022 to Mar 23, 2023
- Private funds · 4 to 3Mar 28, 2022 to Mar 23, 2023
- Discretionary RAUM · $137M to $110MMar 28, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $137M to $110MMar 28, 2022 to Mar 23, 2023
- RAUM · $137M to $110MMar 28, 2022 to Mar 23, 2023
- Accounts · 3 to 4Mar 23, 2021 to Mar 28, 2022
- Pooled vehicle clients · 3 to 4Mar 23, 2021 to Mar 28, 2022
- Assets in custody · $99.7M to $98.3MMar 23, 2021 to Mar 28, 2022
- Private funds · 3 to 4Mar 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $122M to $137MMar 23, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $122M to $137MMar 23, 2021 to Mar 28, 2022
- RAUM · $122M to $137MMar 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $133M to $122MMar 26, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $133M to $122MMar 26, 2020 to Mar 23, 2021
- RAUM · $133M to $122MMar 26, 2020 to Mar 23, 2021
- BD registered reps · 7 to 8Mar 25, 2019 to Mar 26, 2020
- Assets in custody · $95.3M to $99.7MMar 25, 2019 to Mar 26, 2020
- Employees · 7 to 8Mar 25, 2019 to Mar 26, 2020
- Other offices · 1 to 0Mar 25, 2019 to Mar 26, 2020
- Discretionary RAUM · $138M to $133MMar 25, 2019 to Mar 26, 2020
- Pooled vehicle RAUM · $138M to $133MMar 25, 2019 to Mar 26, 2020
- RAUM · $138M to $133MMar 25, 2019 to Mar 26, 2020
- Accounts · 2 to 3Mar 29, 2018 to Mar 25, 2019
Signals
4 dated events
- Yu Min Goh (Board Member) appeared on Schedule A of U•• G••••• C•••••• L••Jun 17, 2024 · Control person joined · fact
- Yung Chee Leong (Board Member) appeared on Schedule A of U•• G••••• C•••••• L••Jun 17, 2024 · Control person joined · fact
- Ee Chong Wee (Board Member) no longer on Schedule A of U•• G••••• C•••••• L•• (listed 2024-03-19, absent 2024-06-17)Jun 17, 2024 · Control person left · inference
- Wah Yan W••• (Board Member) no longer on Schedule A of U•• G••••• C•••••• L•• (listed 2024-03-19, absent 2024-06-17)Jun 17, 2024 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- U•• G••••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- U•• G••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- w••.u••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-398-6633reportedpublic record, Form ADV, Mar 28, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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