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•••••• I••••••••• M••••••••• P••• L•••

Former SEC-registered adviserSingapore, CRD 161318SEC 801-98344IAPD
Latest filing Jun 29, 2023
First filing on the tape May 21, 2015 · 12 filings
RAUM
$156M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.2M gross assets
History
12 filings and snapshots on the tape
RAUM$156M as of Jun 29, 2023
Jun 28, 2016$108M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2023
Jun 28, 20160 then
Employees (5.A)2 as of Jun 29, 2023
Jun 28, 20164 then
Private funds1 as of Jun 29, 2023
Jun 28, 20161 then
RAUM -19% over the last fiscal year+8.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2023; 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
$38.9MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
81%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 assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 5.G
Custody
$21.2M, 1 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$126M86%
  • Pooled investment vehicles$21.2M14%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$21.2M for 1 clientsreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••••• I•••• F••• ••••••• P••••••• L••• • S••••• B•no longer reportedHedge Fund$55.9M4Mar 27, 2012
      A•••••• I•••• L••• T••• F••• L••••••Hedge Fund$21.2M14Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A••• · Chief Compliance Officer And Non Executive Directorcontrol
        since 11/2015 · owns less than 5%
      • S•••••• A••• · Chief Executive Officer And Directorcontrol
        since 11/2015 · owns less than 5%
      • J••••••••• R•••• · Shareholdercontrol
        since 08/2022 · owns 75% or more of R••• E••••• P•••••• L••••••
      • K••••• A•••••• P•••••• C•••••• · Shareholdercontrol
        since 02/2018 · owns F of A•••••• C•••••• M••••••••• P•••••• L••••••
      • S••••••• L•••••• L•••••••• · Shareholdercontrol
        since 02/2018 · owns F of A•••••• C•••••• M••••••••• P•••••• L••••••
      Entity owners
      • A•••••• C•••••• M••••••••• P•••••• L•••••• · Shareholder
        direct · owns 75% or more
      • R••• E••••• P•••••• L•••••• · Shareholder
        indirect · owns 25% to 50% of A•••••• C•••••• M••••••••• P•••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pension plan clients · 1.0 to unset
        Jun 29, 2022 to Jun 29, 2023
      • Assets in custody · $31.4M to $21.2M
        Jun 29, 2022 to Jun 29, 2023
      • Employees · 3 to 2
        Jun 29, 2022 to Jun 29, 2023
      • Discretionary RAUM · $192M to $156M
        Jun 29, 2022 to Jun 29, 2023
      • Pension RAUM · $152M to $126M
        Jun 29, 2022 to Jun 29, 2023
      • Pooled vehicle RAUM · $31.4M to $21.2M
        Jun 29, 2022 to Jun 29, 2023
      • RAUM · $192M to $156M
        Jun 29, 2022 to Jun 29, 2023
      • Assets in custody · $42.7M to $31.4M
        Jun 28, 2021 to Jun 29, 2022
      • Employees · 4 to 3
        Jun 28, 2021 to Jun 29, 2022
      • Discretionary RAUM · $171M to $192M
        Jun 28, 2021 to Jun 29, 2022
      • Pension RAUM · $112M to $152M
        Jun 28, 2021 to Jun 29, 2022
      • Pooled vehicle RAUM · $42.7M to $31.4M
        Jun 28, 2021 to Jun 29, 2022
      • RAUM · $171M to $192M
        Jun 28, 2021 to Jun 29, 2022
      • Assets in custody · $31.8M to $42.7M
        Jun 27, 2020 to Jun 28, 2021
      • Discretionary RAUM · $123M to $171M
        Jun 27, 2020 to Jun 28, 2021
      • Pension RAUM · $64.1M to $112M
        Jun 27, 2020 to Jun 28, 2021
      • Pooled vehicle RAUM · $31.8M to $42.7M
        Jun 27, 2020 to Jun 28, 2021
      • RAUM · $123M to $171M
        Jun 27, 2020 to Jun 28, 2021
      • Assets in custody · $57.6M to $31.8M
        Jan 27, 2020 to Jun 27, 2020
      • Discretionary RAUM · $186M to $123M
        Jan 27, 2020 to Jun 27, 2020
      • Pension RAUM · $94.5M to $64.1M
        Jan 27, 2020 to Jun 27, 2020
      • Pooled vehicle RAUM · $57.6M to $31.8M
        Jan 27, 2020 to Jun 27, 2020
      • RAUM · $186M to $123M
        Jan 27, 2020 to Jun 27, 2020
      • Accounts · 5 to 4
        Jun 29, 2018 to Jun 28, 2019
      • Assets in custody · $103M to $57.6M
        Jun 29, 2018 to Jun 28, 2019
      • Discretionary RAUM · $290M to $186M
        Jun 29, 2018 to Jun 28, 2019
      • Pension RAUM · $91.6M to $94.5M
        Jun 29, 2018 to Jun 28, 2019
      • Pooled vehicle RAUM · $103M to $57.6M
        Jun 29, 2018 to Jun 28, 2019
      • RAUM · $290M to $186M
        Jun 29, 2018 to Jun 28, 2019
      • Accounts · 3 to 5
        Jun 23, 2017 to Jun 29, 2018
      • Pension plan clients · unset to 1.0
        Jun 23, 2017 to Jun 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Jun 23, 2017 to Jun 29, 2018
      • Assets in custody · $78.2M to $103M
        Jun 23, 2017 to Jun 29, 2018
      • Other offices · unset to 0.0
        Jun 23, 2017 to Jun 29, 2018
      • Discretionary RAUM · $181M to $290M
        Jun 23, 2017 to Jun 29, 2018
      • Pension RAUM · unset to 91622048.0
        Jun 23, 2017 to Jun 29, 2018
      • Pooled vehicle RAUM · unset to 102978325.0
        Jun 23, 2017 to Jun 29, 2018
      • RAUM · $181M to $290M
        Jun 23, 2017 to Jun 29, 2018
      • Accounts · 2 to 3
        Jun 28, 2016 to Jun 23, 2017
      • Advisory employees · 1 to 2
        Jun 28, 2016 to Jun 23, 2017
      Signals
      5 dated events
      • R•••• J••••••••• (Shareholder) appeared on Schedule A of A•••••• I••••••••• M••••••••• P••• L•••
        Jun 29, 2023 · Control person joined · fact
      • Rakesh J••••••••• (Shareholder) no longer on Schedule A of A•••••• I••••••••• M••••••••• P••• L••• (listed 2022-06-29, absent 2023-06-29)
        Jun 29, 2023 · Control person left · inference
      • A•••••• I••••••••• M••••••••• P••• L••• reported RAUM $185.7M, down 36% from $290.1M (2018-06-29 to 2019-06-28)
        Jun 28, 2019 · RAUM change · derived
      • A•••••• I••••••••• M••••••••• P••• L••• reported RAUM $290.1M, up 60% from $181.0M (2017-06-23 to 2018-06-29)
        Jun 29, 2018 · RAUM change · derived
      • A•••••• I••••••••• M••••••••• P••• L••• filed its initial SEC registration (Form ADV)
        May 21, 2015 · First SEC registration · fact
      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