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

T• C•••• Q••• I••••••••• L•••

Former SEC-registered adviserGrand Cayman, CRD 162011SEC 801-100450IAPD
Latest filing Mar 29, 2023
First filing on the tape Jun 25, 2015 · 14 filings
RAUM
n/a
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
17
9 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$92.0M as of Mar 29, 2022
Mar 29, 2016$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2023
Mar 29, 20160 then
Employees (5.A)17 as of Mar 29, 2023
Mar 29, 201613 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 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
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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
n/areported
Financial planning clients
n/areported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• Q••• F•••no longer reportedOther Private Fund$169M2Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • G•• F••• · Directorcontrol
        since 11/2019 · owns less than 5%
      • L•• S••••• · Director And Chief Executive Officercontrol
        since 05/2008 · owns less than 5%
      • L••• D•••• · Chief Compliance Officercontrol
        since 05/2008 · owns less than 5%
      • L•• S••••• · Shareholdercontrol
        since 09/2012 · owns 75% or more of T•• P••••• L••••••
      Entity owners
      • T•• P••••• L•••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Shanghai, China5 employees
      • Hong Kong, Hong Kong4 employees
      What changed
      consecutive filings, newest first
      • Accounts · 1.0 to unset
        Oct 12, 2022 to Mar 29, 2023
      • Corporate clients · 1.0 to unset
        Oct 12, 2022 to Mar 29, 2023
      • Discretionary RAUM · 92000000.0 to unset
        Oct 12, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · 0.0 to unset
        Oct 12, 2022 to Mar 29, 2023
      • RAUM · 92000000.0 to unset
        Oct 12, 2022 to Mar 29, 2023
      • Advisory employees · 10 to 9
        Mar 30, 2021 to Mar 29, 2022
      • Employees · 18 to 17
        Mar 30, 2021 to Mar 29, 2022
      • Discretionary RAUM · $90.0M to $92.0M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $90.0M to $92.0M
        Mar 30, 2021 to Mar 29, 2022
      • Advisory employees · 9 to 10
        Mar 4, 2021 to Mar 30, 2021
      • Employees · 17 to 18
        Mar 4, 2021 to Mar 30, 2021
      • Discretionary RAUM · $64.0M to $90.0M
        Mar 4, 2021 to Mar 30, 2021
      • RAUM · $64.0M to $90.0M
        Mar 4, 2021 to Mar 30, 2021
      • Advisory employees · 10 to 9
        Dec 18, 2019 to Mar 19, 2020
      • Discretionary RAUM · $50.0M to $64.0M
        Dec 18, 2019 to Mar 19, 2020
      • RAUM · $50.0M to $64.0M
        Dec 18, 2019 to Mar 19, 2020
      • Accounts · 2 to 1
        Mar 27, 2018 to Mar 27, 2019
      • Corporate clients · unset to 1.0
        Mar 27, 2018 to Mar 27, 2019
      • Organization form · Corporation to Other (specify)
        Mar 27, 2018 to Mar 27, 2019
      • Discretionary RAUM · $122M to $50.0M
        Mar 27, 2018 to Mar 27, 2019
      • Pension RAUM · 63000000.0 to unset
        Mar 27, 2018 to Mar 27, 2019
      • RAUM · $122M to $50.0M
        Mar 27, 2018 to Mar 27, 2019
      • Employees · 16 to 17
        Mar 14, 2017 to Mar 27, 2018
      • Other offices · unset to 2.0
        Mar 14, 2017 to Mar 27, 2018
      • Discretionary RAUM · $69.0M to $122M
        Mar 14, 2017 to Mar 27, 2018
      • Pension RAUM · unset to 63000000.0
        Mar 14, 2017 to Mar 27, 2018
      • RAUM · $69.0M to $122M
        Mar 14, 2017 to Mar 27, 2018
      • Advisory employees · 7 to 10
        Jul 12, 2016 to Mar 14, 2017
      • Employees · 13 to 16
        Jul 12, 2016 to Mar 14, 2017
      • Discretionary RAUM · $102M to $69.0M
        Jul 12, 2016 to Mar 14, 2017
      • RAUM · $102M to $69.0M
        Jul 12, 2016 to Mar 14, 2017
      • Accounts · 1 to 2
        Jun 25, 2015 to Mar 29, 2016
      • Advisory employees · 3 to 7
        Jun 25, 2015 to Mar 29, 2016
      • Advisory activities · 1 to 2
        Jun 25, 2015 to Mar 29, 2016
      • Employees · 10 to 13
        Jun 25, 2015 to Mar 29, 2016
      • Discretionary RAUM · $203M to $102M
        Jun 25, 2015 to Mar 29, 2016
      • RAUM · $203M to $102M
        Jun 25, 2015 to Mar 29, 2016
      Signals
      1 dated events
      • T• C•••• Q••• I••••••••• L••• filed its initial SEC registration (Form ADV)
        Jun 25, 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