DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•• P•••••• G•••• L••••••

Independent wealth managerSheung Wan, CRD 161424SEC 801-74247website IAPD

Latest filing Feb 5, 2026

First filing on the tape Feb 15, 2012 · 19 filings

SEC status approved since Mar 30, 2012

RAUM

$41.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$41.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$41.8M as of Feb 5, 2026

Mar 28, 2013$138M then

HNW client RAUM$41.8M as of Feb 5, 2026

May 15, 2018$107M then

State-registered IARs (5.B.3)0 as of Feb 5, 2026

Mar 28, 20130 then

Employees (5.A)6 as of Feb 5, 2026

Mar 28, 20138 then

Private funds1 as of May 15, 2018

Mar 28, 20131 then

RAUM +35% over the last fiscal year-13% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Feb 5, 2026; every figure names its basis

Archetypes, each a printed rule

UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M

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: $41.8MderivedHNW RAUM over HNW clients
Average account: $41.8MderivedRAUM 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: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: +35%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 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

High-net-worth individuals$41.8M100%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

Every departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
T•• G•••••• A•••• H•••• F•••• L•••no longer reported	Hedge Fund	$74.3M	6	Feb 15, 2012

Owners and control persons

Schedule A and B, latest filing

K•••• W••••••• S••••• · Chief Investment Officer And Senior Managing Directorcontrol
since 08/1991 · owns less than 5%
S••••• Y••• C•• · Chief Operating Officer And Chief Compliance Officercontrol
since 02/2012 · owns less than 5%
K•••• W••••••• S••••• · Ownercontrol
since 08/1991 · owns 75% or more of E••• I••••••••• L•••

Entity owners

K••• C•••••• L••• · Owner
direct · owns 75% or more
E••• I••••••••• L••• · Owner
indirect · owns 75% or more of K••• C•••••• L•••
T•••• M••••••••• C••••••••• · Owner
direct · owns 25% to 50%

Related persons

Schedule D 7.A

E••• I••••••••• L•••
investment advisery
G••• A•••••• L••••••
investment advisern
K••• C•••••• L•••
investment advisery
K••• I••••••••• L•••
investment advisern
P•••••• A••••••• A•••• M••••••••• L•••
investment advisern
P•••••• A••••••• D••••••••• M••••••••• L•••
investment advisern
P•••••• A••••••• G••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

Sheung Wan, Hong Kong2 employees

What changed

consecutive filings, newest first

Discretionary RAUM · $30.9M to $41.8M
Mar 4, 2025 to Feb 5, 2026
HNW RAUM · $30.9M to $41.8M
Mar 4, 2025 to Feb 5, 2026
RAUM · $30.9M to $41.8M
Mar 4, 2025 to Feb 5, 2026
Financial planning clients · 1-10 to 1-10
Mar 14, 2024 to Mar 4, 2025
HQ state · unset to
Mar 14, 2024 to Mar 4, 2025
Discretionary RAUM · $31.1M to $30.9M
Mar 14, 2024 to Mar 4, 2025
HNW RAUM · $31.1M to $30.9M
Mar 14, 2024 to Mar 4, 2025
RAUM · $31.1M to $30.9M
Mar 14, 2024 to Mar 4, 2025
Accounts · 2 to 1
Mar 28, 2023 to Mar 14, 2024
Discretionary RAUM · $64.2M to $31.1M
Mar 28, 2023 to Mar 14, 2024
HNW RAUM · $39.9M to $31.1M
Mar 28, 2023 to Mar 14, 2024
RAUM · $64.2M to $31.1M
Mar 28, 2023 to Mar 14, 2024
Discretionary RAUM · $65.0M to $64.2M
Mar 15, 2022 to Mar 28, 2023
HNW RAUM · $37.5M to $39.9M
Mar 15, 2022 to Mar 28, 2023
RAUM · $65.0M to $64.2M
Mar 15, 2022 to Mar 28, 2023
Employees · 7 to 6
Mar 16, 2021 to Mar 15, 2022
Discretionary RAUM · $60.9M to $65.0M
Mar 16, 2021 to Mar 15, 2022
HNW RAUM · $34.0M to $37.5M
Mar 16, 2021 to Mar 15, 2022
RAUM · $60.9M to $65.0M
Mar 16, 2021 to Mar 15, 2022
Discretionary RAUM · $71.7M to $60.9M
Apr 2, 2020 to Mar 16, 2021
HNW RAUM · $35.9M to $34.0M
Apr 2, 2020 to Mar 16, 2021
RAUM · $71.7M to $60.9M
Apr 2, 2020 to Mar 16, 2021
Discretionary RAUM · $84.4M to $71.7M
Feb 26, 2019 to Apr 1, 2020
HNW RAUM · $34.0M to $35.9M
Feb 26, 2019 to Apr 1, 2020
RAUM · $84.4M to $71.7M
Feb 26, 2019 to Apr 1, 2020
Accounts · 3 to 2
May 15, 2018 to Feb 26, 2019
Advisory employees · 3 to 2
May 15, 2018 to Feb 26, 2019
HNW clients · 4 to 1
May 15, 2018 to Feb 26, 2019
HQ city · HONG KONG SAR to SHEUNG WAN
May 15, 2018 to Feb 26, 2019
Private funds · 1 to unset
May 15, 2018 to Feb 26, 2019
Discretionary RAUM · $171M to $84.4M
May 15, 2018 to Feb 26, 2019
HNW RAUM · $107M to $34.0M
May 15, 2018 to Feb 26, 2019
RAUM · $171M to $84.4M
May 15, 2018 to Feb 26, 2019
HNW clients · unset to 4.0
Mar 15, 2017 to Mar 28, 2018
Financial planning clients · unset to 1-10
Mar 15, 2017 to Mar 28, 2018
Other offices · unset to 1.0
Mar 15, 2017 to Mar 28, 2018
Discretionary RAUM · $155M to $171M
Mar 15, 2017 to Mar 28, 2018
HNW RAUM · unset to 107038636.0
Mar 15, 2017 to Mar 28, 2018
RAUM · $155M to $171M
Mar 15, 2017 to Mar 28, 2018
Discretionary RAUM · $146M to $155M
Mar 31, 2016 to Mar 15, 2017

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.

How to reach

public business contact points only, each with its source

Website: w••.p•••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 852 2810 1399reportedpublic record, Form ADV, Feb 5, 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: Independent wealth managerderiveda 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