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

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

Asset manager (funds and pooled vehicles)Hong Kong, CRD 161891SEC 801-76370IAPD
Latest filing Sep 29, 2023
First filing on the tape Apr 2, 2012 · 18 filings
SEC status approved since May 4, 2012
RAUM
$7.1M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$12.9M gross assets
History
18 filings and snapshots on the tape
RAUM$7.1M as of Sep 29, 2023
Sep 27, 2012$72.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 29, 2023
Sep 16, 20130 then
Employees (5.A)1 as of Sep 29, 2023
Sep 16, 20133 then
Private funds1 as of Sep 29, 2023
Sep 7, 20221 then
RAUM -15% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 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
$7.1MderivedRAUM 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
-15%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, fixed feesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.1M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• P•••• W•••••• · Chief Executive Officer And Managing Membercontrol
        since 05/2008 · owns 75% or more
      • D•••••• M•••••• F•••••• · Chief Compliance Officer
        since 06/2019 · owns less than 5%
      Entity owners
      • M••••••••• I••••••••• M••••••••• •••••• L•• · Holding Company
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $8.3M to $7.1M
        Sep 7, 2022 to Sep 29, 2023
      • Pooled vehicle RAUM · $8.3M to $7.1M
        Sep 7, 2022 to Sep 29, 2023
      • RAUM · $8.3M to $7.1M
        Sep 7, 2022 to Sep 29, 2023
      • Discretionary RAUM · $12.9M to $8.3M
        Mar 31, 2022 to Sep 7, 2022
      • Pooled vehicle RAUM · $12.9M to $8.3M
        Mar 31, 2022 to Sep 7, 2022
      • RAUM · $12.9M to $8.3M
        Mar 31, 2022 to Sep 7, 2022
      • Advisory activities · 3 to 2
        Jan 15, 2020 to Mar 25, 2022
      • Pooled vehicle clients · unset to 1.0
        Jan 15, 2020 to Mar 25, 2022
      • Private funds · unset to 1
        Jan 15, 2020 to Mar 25, 2022
      • Discretionary RAUM · $6.1M to $12.9M
        Jan 15, 2020 to Mar 25, 2022
      • Pooled vehicle RAUM · unset to 12859883.0
        Jan 15, 2020 to Mar 25, 2022
      • RAUM · $6.1M to $12.9M
        Jan 15, 2020 to Mar 25, 2022
      • Employees · 2 to 1
        Oct 3, 2018 to Jan 15, 2020
      • Discretionary RAUM · $49.0M to $6.1M
        Oct 3, 2018 to Jan 15, 2020
      • RAUM · $49.0M to $6.1M
        Oct 3, 2018 to Jan 15, 2020
      • Discretionary RAUM · $45.4M to $49.0M
        Dec 4, 2017 to Oct 3, 2018
      • RAUM · $45.4M to $49.0M
        Dec 4, 2017 to Oct 3, 2018
      • Other offices · unset to 0.0
        Sep 18, 2017 to Dec 4, 2017
      • Discretionary RAUM · $42.7M to $45.4M
        Sep 18, 2017 to Dec 4, 2017
      • RAUM · $42.7M to $45.4M
        Sep 18, 2017 to Dec 4, 2017
      • Advisory employees · 3 to 1
        Sep 23, 2016 to Sep 18, 2017
      • Employees · 4 to 2
        Sep 23, 2016 to Sep 18, 2017
      • Discretionary RAUM · $42.6M to $42.7M
        Sep 23, 2016 to Sep 18, 2017
      • RAUM · $42.6M to $42.7M
        Sep 23, 2016 to Sep 18, 2017
      • Advisory activities · 2 to 3
        Sep 8, 2015 to Sep 23, 2016
      • Discretionary RAUM · $36.4M to $42.6M
        Sep 8, 2015 to Sep 23, 2016
      • RAUM · $36.4M to $42.6M
        Sep 8, 2015 to Sep 23, 2016
      • Discretionary RAUM · $39.6M to $36.4M
        Dec 2, 2014 to Sep 8, 2015
      • RAUM · $39.6M to $36.4M
        Dec 2, 2014 to Sep 8, 2015
      • Accounts · 2 to 1
        Sep 26, 2014 to Dec 2, 2014
      • Discretionary RAUM · $53.1M to $39.6M
        Sep 26, 2014 to Dec 2, 2014
      • RAUM · $53.1M to $39.6M
        Sep 26, 2014 to Dec 2, 2014
      • Advisory employees · 2 to 3
        Jun 12, 2014 to Sep 26, 2014
      • Advisory activities · 1 to 2
        Jun 12, 2014 to Sep 26, 2014
      • Employees · 3 to 4
        Jun 12, 2014 to Sep 26, 2014
      • Discretionary RAUM · $48.5M to $53.1M
        Jun 12, 2014 to Sep 26, 2014
      • RAUM · $48.5M to $53.1M
        Jun 12, 2014 to Sep 26, 2014
      • Advisory employees · unset to 2.0
        Sep 27, 2012 to Sep 16, 2013
      • BD registered reps · unset to 0.0
        Sep 27, 2012 to Sep 16, 2013
      • Employees · unset to 3.0
        Sep 27, 2012 to Sep 16, 2013
      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
      Principal office phone
      852 2179 3337reportedpublic record, Form ADV, Sep 29, 2023
      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