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

K•••••• P••••••• P•• L••

Former SEC-registered adviserSingapore, CRD 163378SEC 801-75576IAPD
Latest filing Oct 8, 2024
First filing on the tape Mar 29, 2012 · 18 filings
SEC status approved since Apr 22, 2012
RAUM
$47.9M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$47.9M gross assets
History
18 filings and snapshots on the tape
RAUM$47.9M as of Sep 3, 2024
Sep 27, 2012$174M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 3, 2024
Sep 25, 20130 then
Employees (5.A)7 as of Sep 3, 2024
Sep 25, 20137 then
Private funds1 as of Sep 3, 2024
Sep 27, 20121 then
RAUM -5.7% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 8, 2024; 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
$47.9MderivedRAUM 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
-5.7%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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$47.9M100%
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, 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
      O••••• A••• F•••Hedge Fund$47.9M6Jul 30, 2019
      R••••••••• F•••no longer reportedHedge Fund$17.9M9Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • S••• F•••• C••• · Director Of Operations, Chief Compliance Officer, Directorcontrol
        since 12/2001 · owns 10% to 25%
      • T••• R•••••• · Chief Executive Officer, Chief Investment Officer, Directorcontrol
        since 11/1998 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $50.8M to $47.9M
        Aug 3, 2023 to Sep 3, 2024
      • Pooled vehicle RAUM · $50.8M to $47.9M
        Aug 3, 2023 to Sep 3, 2024
      • RAUM · $50.8M to $47.9M
        Aug 3, 2023 to Sep 3, 2024
      • Accounts · 7 to 1
        Oct 27, 2022 to Aug 3, 2023
      • Advisory employees · 4 to 3
        Oct 27, 2022 to Aug 3, 2023
      • Advisory activities · 2 to 1
        Oct 27, 2022 to Aug 3, 2023
      • Corporate clients · 6.0 to unset
        Oct 27, 2022 to Aug 3, 2023
      • Employees · 8 to 7
        Oct 27, 2022 to Aug 3, 2023
      • Discretionary RAUM · $215M to $50.8M
        Oct 27, 2022 to Aug 3, 2023
      • Pooled vehicle RAUM · $61.6M to $50.8M
        Oct 27, 2022 to Aug 3, 2023
      • RAUM · $215M to $50.8M
        Oct 27, 2022 to Aug 3, 2023
      • Accounts · 8 to 7
        Oct 26, 2021 to Sep 6, 2022
      • Advisory employees · 6 to 4
        Oct 26, 2021 to Sep 6, 2022
      • Corporate clients · 7 to 6
        Oct 26, 2021 to Sep 6, 2022
      • Employees · 12 to 8
        Oct 26, 2021 to Sep 6, 2022
      • Discretionary RAUM · $596M to $215M
        Oct 26, 2021 to Sep 6, 2022
      • Pooled vehicle RAUM · $94.7M to $61.6M
        Oct 26, 2021 to Sep 6, 2022
      • RAUM · $596M to $215M
        Oct 26, 2021 to Sep 6, 2022
      • Accounts · 9 to 8
        Jul 28, 2020 to Aug 6, 2021
      • Advisory employees · 7 to 6
        Jul 28, 2020 to Aug 6, 2021
      • Pooled vehicle clients · 2 to 1
        Jul 28, 2020 to Aug 6, 2021
      • Employees · 11 to 12
        Jul 28, 2020 to Aug 6, 2021
      • Private funds · 2 to 1
        Jul 28, 2020 to Aug 6, 2021
      • Discretionary RAUM · $418M to $596M
        Jul 28, 2020 to Aug 6, 2021
      • Pooled vehicle RAUM · $76.3M to $94.7M
        Jul 28, 2020 to Aug 6, 2021
      • RAUM · $418M to $596M
        Jul 28, 2020 to Aug 6, 2021
      • Accounts · 10 to 9
        Jul 30, 2019 to Jul 28, 2020
      • Charity clients · 1.0 to unset
        Jul 30, 2019 to Jul 28, 2020
      • Discretionary RAUM · $365M to $418M
        Jul 30, 2019 to Jul 28, 2020
      • Pooled vehicle RAUM · $71.7M to $76.3M
        Jul 30, 2019 to Jul 28, 2020
      • RAUM · $365M to $418M
        Jul 30, 2019 to Jul 28, 2020
      • Accounts · 4 to 10
        Aug 30, 2018 to Jul 30, 2019
      • Advisory employees · 6 to 7
        Aug 30, 2018 to Jul 30, 2019
      • Charity clients · unset to 1.0
        Aug 30, 2018 to Jul 30, 2019
      • Corporate clients · unset to 7.0
        Aug 30, 2018 to Jul 30, 2019
      • Pooled vehicle clients · 1 to 2
        Aug 30, 2018 to Jul 30, 2019
      • Employees · 10 to 11
        Aug 30, 2018 to Jul 30, 2019
      • Private funds · 1 to 2
        Aug 30, 2018 to Jul 30, 2019
      • Discretionary RAUM · $376M to $365M
        Aug 30, 2018 to Jul 30, 2019
      • Pooled vehicle RAUM · $43.1M to $71.7M
        Aug 30, 2018 to Jul 30, 2019
      Signals
      4 dated events
      • K•••••• P••••••• P•• L•• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $47.9M)
        Feb 3, 2025 · Left the SEC roster · derived
      • K•••••• P••••••• P•• L•• reported RAUM $50.8M, down 76% from $215.0M (2022-10-27 to 2023-08-03)
        Aug 3, 2023 · RAUM change · derived
      • K•••••• P••••••• P•• L•• reported RAUM $215.0M, down 64% from $595.7M (2021-10-26 to 2022-09-06)
        Sep 6, 2022 · RAUM change · derived
      • K•••••• P••••••• P•• L•• reported RAUM $595.7M, up 43% from $417.8M (2020-07-28 to 2021-08-06)
        Aug 6, 2021 · RAUM change · derived
      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