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

N••• A••• C•••••• M••••••••• ••••••••• P••• L•••

Former SEC-registered adviserS••••••••, CRD 162310SEC 801-74507IAPD
Latest filing Mar 30, 2017
First filing on the tape Mar 5, 2012 · 8 filings
RAUM
$415M
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
6
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$415M as of Mar 30, 2017
Mar 28, 2013$562M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 28, 20130 then
Employees (5.A)6 as of Mar 30, 2017
Mar 28, 20136 then
Private funds: no history
RAUM -56% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2017; 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
$69.2MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-56%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 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
6reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F•••••••• F••••• · Chief Investment Officer, Management Committee Membercontrol
        since 09/2010 · owns 50% to 75%
      • K••••••• R••••••• P•••••• · Chief Operating Officer, Management Committee Membercontrol
        since 09/2010 · owns less than 5%
      • S•••••• S•••••• D•••• · Management Committee Membercontrol
        since 04/2011 · owns less than 5%
      • T••••••••• M••••• A••••• C••••••• · Chief Compliance Officer, Director Of Legalcontrol
        since 03/2017 · owns less than 5%
      • W••••• D•••••• J••• · Chief Financial Officercontrol
        since 04/2011 · owns less than 5%
      • K••••••• R••••••• P•••••• · Investment Advisorcontrol
        since 12/2012 · owns F of R•••••• P•••••• K•••••• F••••• T••••
      • S•••••• S•••••• D•••• · Investment Advisorcontrol
        since 12/2012 · owns F of H•••• G•••• I• T••••
      • M•••• T•••• D•••• · Non-Discretionary Trustee
        since 12/2012 · owns F of R•••••• P•••••• K•••••• F••••• T••••
      • M•••• T•••• D•••• · Non-Discretionary Trustee
        since 12/2012 · owns F of H•••• G•••• I• T••••
      Entity owners
      • H•••• G•••• I• T•••• · Managing Member
        indirect · owns 75% or more of H•••• G•••• I LLC
      • R•••••• P•••••• K•••••• F••••• T•••• · Managing Member
        indirect · owns 75% or more of H••••• H••••••• L••
      • H••••• H••••••• L•• · Shareholder
        direct · owns 10% to 25%
      • H•••• G•••• I• L•• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong
      • New York, NY
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Jun 20, 2016 to Mar 30, 2017
      • Employees · 8 to 6
        Jun 20, 2016 to Mar 30, 2017
      • Discretionary RAUM · $949M to $415M
        Jun 20, 2016 to Mar 30, 2017
      • RAUM · $949M to $415M
        Jun 20, 2016 to Mar 30, 2017
      • Accounts · 5 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 3
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 9 to 8
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $0 to $949M
        Mar 31, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $715M to $0
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $715M to $949M
        Mar 31, 2015 to Mar 30, 2016
      • Accounts · 11 to 5
        May 12, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 4
        May 12, 2014 to Mar 31, 2015
      • Employees · 8 to 9
        May 12, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $829M to $715M
        May 12, 2014 to Mar 31, 2015
      • RAUM · $829M to $715M
        May 12, 2014 to Mar 31, 2015
      • Advisory employees · 4 to 6
        Mar 28, 2013 to Mar 28, 2014
      • Employees · 6 to 8
        Mar 28, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · $562M to $829M
        Mar 28, 2013 to Mar 28, 2014
      • RAUM · $562M to $829M
        Mar 28, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Mar 5, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 5, 2012 to Mar 28, 2013
      • Employees · unset to 6.0
        Mar 5, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 5, 2012 to Mar 28, 2013
      • Non-discretionary RAUM · $555M to $562M
        Mar 5, 2012 to Mar 28, 2013
      • RAUM · $555M to $562M
        Mar 5, 2012 to Mar 28, 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.
      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