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
A••• A•••• M••••••••• C••• L•••
Latest filing Jun 25, 2026
First filing on the tape Sep 10, 2012 · 31 filings
SEC status approved since Sep 25, 2012
RAUM
$1.2B
reported, Item 5.F
Discretionary
91%
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
32
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
35
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$1.2B as of Jun 25, 2026
Jun 25, 2013$391M then
HNW client RAUM$0 as of Jun 25, 2026
Jun 26, 2018$12.5M then
State-registered IARs (5.B.3)0 as of Jun 25, 2026
Jun 25, 20130 then
Employees (5.A)32 as of Jun 25, 2026
Jun 25, 201317 then
Private funds35 as of Jun 25, 2026
Jun 25, 20131 then
RAUM +26% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 25, 2026; 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
- $16.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 10%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
- -33%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -64%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$921M78%
- Pension and profit-sharing plans$128M11%
- Investment companies$106M9.0%
- Banks and thrifts$27.5M2.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 4reported
- Charitable clients
- 0reported
- Accounts
- 74reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.1 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
Private funds
105 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• M•••• H•••••• R••• E••••• P•••••• F••• 2•no longer reported | Real Estate Fund | $335M | 3 | Jun 24, 2019 |
| A••• S•••••• R••• E••••• P•••••• F••• 1• | Real Estate Fund | $142M | 9 | Jun 26, 2018 |
| C• A••••••• R••••• M••••• F•••no longer reported | Hedge Fund | $103M | 5 | Apr 2, 2012 |
| T•• F•••• A••• C••••• P•••••• F••• | Hedge Fund | $87.0M | 7 | Mar 27, 2018 |
| A••• M•••• H•••••• R••• E••••• P•••••• F••• 3•no longer reported | Real Estate Fund | $48.4M | 2 | Jun 28, 2021 |
| A••• H• M•••••••• P•••••• F••• 1•no longer reported | Hedge Fund | $47.5M | 10 | Jun 28, 2022 |
| A••• C••••• P•••••• F••• 2• | Hedge Fund | $41.5M | 1 | Jun 28, 2022 |
| M•••• I••••••••• P••• P•••••• F••• 4•• •••••• | Hedge Fund | $28.4M | 1 | Jun 28, 2022 |
| A••• P•••••• L• P•••••• F••• 1• | Hedge Fund | $26.9M | 58 | Jun 28, 2022 |
| A••• H• K••••• V•••••• P•••••• F••• A•no longer reported | Hedge Fund | $22.9M | 2 | Jun 28, 2021 |
| A••• M•••••••• P•••••• F••• 2•no longer reported | Hedge Fund | $22.3M | 16 | Mar 27, 2018 |
| A••• H• N•• D••• P•••••• F••• 1• | Hedge Fund | $21.8M | 7 | Jun 28, 2022 |
| A••• A••• G••••• P•••••• F•••no longer reported | Hedge Fund | $21.5M | 13 | Mar 27, 2018 |
| A••• H• M•••••••• P•••••• F••• 1•no longer reported | Hedge Fund | $21.0M | 5 | Jun 28, 2022 |
| A••• M•••••••• P•••••• F••• 5•no longer reported | Hedge Fund | $20.2M | 40 | Jun 26, 2018 |
| A••• P• P•••••• F••• 1• | Hedge Fund | $20.0M | 39 | Jun 28, 2022 |
| A••• H• K••••• V•••••• P•••••• F••• 2•no longer reported | Hedge Fund | $18.9M | 51 | Jun 28, 2021 |
| A••• K•••• A••••• R••••• M••••• F•••no longer reported | Hedge Fund | $18.9M | 3 | Mar 27, 2018 |
| A••• E•• P•••••• F••• 1• | Hedge Fund | $18.1M | 13 | Jun 28, 2022 |
| A••• H• K••••• V•••••• P•••••• F••• 3•no longer reported | Hedge Fund | $17.9M | 2 | Jun 28, 2022 |
| A••• M•••••••• P•••••• F••• 1•no longer reported | Hedge Fund | $17.1M | 43 | Mar 27, 2018 |
| A••• H• K••••• V•••••• P•••••• F••• 1•no longer reported | Hedge Fund | $16.2M | 1 | Jun 28, 2021 |
| A••• H••• P••• P•••••• F••• 6• | Real Estate Fund | $16.0M | 34 | Jun 28, 2021 |
| A••• M•••••••• P•••••• F••• 3•no longer reported | Hedge Fund | $15.8M | 52 | Mar 27, 2018 |
| A••• A•••• E•••••••• 1• | Hedge Fund | $15.8M | 42 | Jun 29, 2023 |
| A••• H• M•••••••• P•••••• F••• 1•no longer reported | Hedge Fund | $14.6M | 4 | Jun 28, 2021 |
| A••• H• T•• B•••• 2• P•••••• F•••no longer reported | Hedge Fund | $12.9M | 4 | Jun 28, 2022 |
| A••• B••• C••• P•••••• F••• 1• | Hedge Fund | $12.8M | 4 | Jun 22, 2020 |
| A••• H•••••• F••• 1• | Hedge Fund | $12.7M | 6 | Jun 29, 2023 |
| A••• M•••••••• P•••••• F••• 4•no longer reported | Hedge Fund | $12.4M | 52 | Jun 26, 2018 |
| A••• L•••••• K•••• 1• | Hedge Fund | $12.2M | 3 | Jun 29, 2023 |
| A••• H• T•• B•••• 1• P•••••• F•••no longer reported | Hedge Fund | $10.9M | 3 | Jun 28, 2022 |
| A••• R••••• P•••••• F••• 1• | Hedge Fund | $10.5M | 36 | Jun 28, 2022 |
| A••• M•••••••• P•••••• F••• 6•no longer reported | Hedge Fund | $10.3M | 26 | Jun 24, 2019 |
| A••• P••••••• P•••••• F••• 1•no longer reported | Hedge Fund | $9.5M | 35 | Jun 28, 2022 |
| A••• R••••• R••• E••••• P•••••• F••• 9•no longer reported | Real Estate Fund | $8.9M | 49 | Jun 28, 2021 |
| A••• H• M•••••••• P•••••• F••• 9•no longer reported | Hedge Fund | $8.7M | 21 | Jun 28, 2021 |
| A••• P•••••• E• P•••••• F••• 1• | Hedge Fund | $8.6M | 6 | Jun 29, 2023 |
| A••• L•••••••• D•••• P•••••• F••• 1• | Hedge Fund | $8.5M | 22 | Jun 28, 2022 |
| A••• P••••• P•••••• F••• 1• | Hedge Fund | $8.5M | 6 | Mar 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- C••• M•• W••• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- C•••• K••• U•• •••• · Shareholdercontrolsince 11/2011 · owns 50% to 75%
- P•••• E•• H••• · Representative Directorcontrolsince 07/2021 · owns less than 5%
- P•••• H•••• S••• · Representative Directorcontrolsince 04/2019 · owns less than 5%
- P••••• D•••••• W••••• · Representative Directorcontrolsince 04/2019 · owns less than 5%
- C•••• K••• U•• •••• · Shareholdercontrolsince 07/2007 · owns 75% or more of A••• I••••••••• P••••••• C••• L•••
- C•••• G••• C•••• · Chief Operating Officersince 03/2022 · owns less than 5%
Entity owners
- A••• I••••••••• P••••••• C••• L••• · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A••• H• A•••• M••••••••• C••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- many p•••••• funds relative to firm sizeStatic outlier · filing Jun 25, 2026private funds per $1B of RAUM of 28.5 against a peer median of 4.3 (953 comparable advisers, 98.0th percentile, 7.8 robust deviations)peers: asset managers, $1B to $5B (953) · 98% percentile
- RAUM down 25 %Change between filings · filing Feb 9, 2026RAUM (Item 5.F) moved from $972,108,277 to $649,998,212 (-33.0%) between the annual amendments of 2025-03-31 and 2026-02-09; the peer median change was +11.0% (1368 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 2.3% percentile
What changed
consecutive filings, newest first
- Accounts · 73 to 74Feb 9, 2026 to Jun 25, 2026
- Advisory employees · 19 to 23Feb 9, 2026 to Jun 25, 2026
- Corporate clients · 1 to 0Feb 9, 2026 to Jun 25, 2026
- HNW clients · 5 to 0Feb 9, 2026 to Jun 25, 2026
- Pension plan clients · 6 to 4Feb 9, 2026 to Jun 25, 2026
- Pooled vehicle clients · 39 to 40Feb 9, 2026 to Jun 25, 2026
- Employees · 31 to 32Feb 9, 2026 to Jun 25, 2026
- Discretionary RAUM · $591M to $1.1BFeb 9, 2026 to Jun 25, 2026
- HNW RAUM · $3.5M to $0Feb 9, 2026 to Jun 25, 2026
- Non-discretionary RAUM · $58.6M to $106MFeb 9, 2026 to Jun 25, 2026
- Pension RAUM · $94.2M to $128MFeb 9, 2026 to Jun 25, 2026
- Pooled vehicle RAUM · $460M to $921MFeb 9, 2026 to Jun 25, 2026
- RAUM · $650M to $1.2BFeb 9, 2026 to Jun 25, 2026
- Accounts · 72 to 73Mar 31, 2025 to Jun 19, 2025
- Advisory employees · 22 to 19Mar 31, 2025 to Jun 19, 2025
- Advisory activities · 4 to 3Mar 31, 2025 to Jun 19, 2025
- HNW clients · 14 to 5Mar 31, 2025 to Jun 19, 2025
- Pension plan clients · 4 to 6Mar 31, 2025 to Jun 19, 2025
- Pooled vehicle clients · 43 to 39Mar 31, 2025 to Jun 19, 2025
- Employees · 34 to 31Mar 31, 2025 to Jun 19, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jun 19, 2025
- Private funds · 36 to 35Mar 31, 2025 to Jun 19, 2025
- Discretionary RAUM · $942M to $591MMar 31, 2025 to Jun 19, 2025
- HNW RAUM · $9.2M to $3.5MMar 31, 2025 to Jun 19, 2025
- Non-discretionary RAUM · $30.1M to $58.6MMar 31, 2025 to Jun 19, 2025
- Pension RAUM · $65.2M to $94.2MMar 31, 2025 to Jun 19, 2025
- Pooled vehicle RAUM · $697M to $460MMar 31, 2025 to Jun 19, 2025
- RAUM · $972M to $650MMar 31, 2025 to Jun 19, 2025
- HQ state · unset to Jun 25, 2024 to Mar 31, 2025
- Accounts · 54 to 72Jun 29, 2023 to Jun 25, 2024
- Advisory employees · 21 to 22Jun 29, 2023 to Jun 25, 2024
- Corporate clients · unset to 1.0Jun 29, 2023 to Jun 25, 2024
- HNW clients · 0 to 14Jun 29, 2023 to Jun 25, 2024
- Pooled vehicle clients · 46 to 43Jun 29, 2023 to Jun 25, 2024
- Employees · 35 to 34Jun 29, 2023 to Jun 25, 2024
- Private funds · 40 to 36Jun 29, 2023 to Jun 25, 2024
- Discretionary RAUM · $1.1B to $942MJun 29, 2023 to Jun 25, 2024
- HNW RAUM · $0 to $9.2MJun 29, 2023 to Jun 25, 2024
- Non-discretionary RAUM · $16.1M to $30.1MJun 29, 2023 to Jun 25, 2024
- Pension RAUM · $60.1M to $65.2MJun 29, 2023 to Jun 25, 2024
Signals
13 dated events
- A••• A•••• M••••••••• C••• L••• reported RAUM $1.2B, up 89% from $650.0M (2026-02-09 to 2026-06-25)Jun 25, 2026 · ria raum c••••e · derived
- A••• A•••• M••••••••• C••• L••• reported RAUM $650.0M, down 33% from $972.1M (2025-03-31 to 2025-06-19)Jun 19, 2025 · ria raum c••••e · derived
- A••• A•••• M••••••••• C••• L••• reported RAUM $1.1B, down 35% from $1.7B (2023-04-06 to 2023-06-29)Jun 29, 2023 · ria raum c••••e · derived
- Eui H••• P••• (Representative Director) appeared on Schedule A of A••• A•••• M••••••••• C••• L•••Jul 15, 2021 · Control person joined · fact
- A••• A•••• M••••••••• C••• L••• reported RAUM $1.5B, up 148% from $625.2M (2020-06-22 to 2021-06-28)Jun 28, 2021 · ria raum c••••e · derived
- A••• A•••• M••••••••• C••• L••• reported RAUM $625.2M, down 33% from $939.0M (2020-03-27 to 2020-06-22)Jun 22, 2020 · ria raum c••••e · derived
- Jong S••• P••• (Director) no longer on Schedule A of A••• A•••• M••••••••• C••• L••• (listed 2020-03-27, absent 2020-06-22)Jun 22, 2020 · Control person left · inference
- (Nmn) Min Kook Lee (Ceo And Representative Director) no longer on Schedule A of A••• A•••• M••••••••• C••• L••• (listed 2018-06-26, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Dae Joong Kim (Portfolio Manager And Director) no longer on Schedule A of A••• A•••• M••••••••• C••• L••• (listed 2018-06-26, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Mark Lee (Co-Ceo And Director) no longer on Schedule A of A••• A•••• M••••••••• C••• L••• (listed 2018-06-26, absent 2019-06-24)Jun 24, 2019 · Control person left · inference
- Jong S••• P••• (Director) appeared on Schedule A of A••• A•••• M••••••••• C••• L•••Jun 24, 2019 · Control person joined · fact
- H•••• S••• P••• (Representative Director) appeared on Schedule A of A••• A•••• M••••••••• C••• L•••Jun 24, 2019 · Control person joined · fact
- A••• I••••••••• M••••••••• C••• L••• filed its initial SEC registration (Form ADV)Sep 10, 2012 · ria f•••• adv filing · fact
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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 822-2156-2800reportedpublic record, Form ADV, Jun 25, 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
- 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
Across the graphs
A••• A•••• M••••••••• C••• L••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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