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
C•• C•••••• M••••••••• L•••
Latest filing Aug 16, 2021
First filing on the tape Jun 14, 2013 · 11 filings
RAUM
$34.5M
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
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$38.6M gross assets
History
11 filings and snapshots on the tape
RAUM$19.2M as of Jun 3, 2020
Jun 2, 2014$53.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 3, 2020
Jun 2, 20140 then
Employees (5.A)8 as of Jun 3, 2020
Jun 2, 201410 then
Private funds2 as of Jun 3, 2020
Jun 2, 20142 then
RAUM +80% over the last fiscal year+35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 16, 2021; 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
- $17.2MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.2%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
- Custody
- $19.2M, 2 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$34.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.2M for 2 clientsreported
- 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
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•• C•••• O••••••••• F•••• L••• | Hedge Fund | $21.1M | 7 | Jun 14, 2013 |
| P•••••• C•• C•••• O••••••••• F•••no longer reported | Hedge Fund | $7.4M | 1 | Mar 30, 2016 |
| C•• C•••• O••••••••• F••• •••• L••• | Hedge Fund | $2.6M | 2 | Jun 14, 2013 |
Owners and control persons
Schedule A and B, latest filing
- T•••• J•••••• · Chief Compliance Officercontrolsince 07/2009 · owns less than 5%
- Y••• E•••• C•••••••• · Chairmancontrolsince 07/2009 · owns less than 5%
- Y••• E•••• C•••••••• · Trusteecontrolsince 05/2012 · owns 75% or more of E••• C•••••••• Y•• R•••••••• T••••
Entity owners
- C•• C•••• O••••••••• L••• · Shareholderdirect · owns 75% or more
- E••• C•••••••• Y•• R•••••••• T•••• · Shareholderindirect · owns 75% or more of C•• C•••• O••••••••• L•••
Related persons
Schedule D 7.A
- C•••• S••• V••••••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Shanghai, China1 employees
What changed
consecutive filings, newest first
- HQ city · SHANGHAI to BROOKLINEJun 3, 2020 to Aug 16, 2021
- HQ state · unset to MAJun 3, 2020 to Aug 16, 2021
- Discretionary RAUM · $19.2M to $34.5MJun 3, 2020 to Aug 16, 2021
- Pooled vehicle RAUM · $19.2M to $34.5MJun 3, 2020 to Aug 16, 2021
- RAUM · $19.2M to $34.5MJun 3, 2020 to Aug 16, 2021
- Accounts · 3 to 2Jun 20, 2019 to Jun 3, 2020
- Pooled vehicle clients · 3 to 2Jun 20, 2019 to Jun 3, 2020
- Assets in custody · $11.8M to $19.2MJun 20, 2019 to Jun 3, 2020
- Private funds · 3 to 2Jun 20, 2019 to Jun 3, 2020
- Discretionary RAUM · $11.8M to $19.2MJun 20, 2019 to Jun 3, 2020
- Non-discretionary RAUM · $7.4M to $0Jun 20, 2019 to Jun 3, 2020
- Pooled vehicle RAUM · $19.2M to $19.2MJun 20, 2019 to Jun 3, 2020
- RAUM · $19.2M to $19.2MJun 20, 2019 to Jun 3, 2020
- Assets in custody · $14.2M to $11.8MJul 23, 2018 to Jun 5, 2019
- Discretionary RAUM · $14.2M to $11.8MJul 23, 2018 to Jun 5, 2019
- Non-discretionary RAUM · $9.3M to $7.4MJul 23, 2018 to Jun 5, 2019
- Pooled vehicle RAUM · $23.5M to $19.2MJul 23, 2018 to Jun 5, 2019
- RAUM · $23.5M to $19.2MJul 23, 2018 to Jun 5, 2019
- Pooled vehicle clients · unset to 3.0Mar 7, 2017 to Jul 23, 2018
- Assets in custody · $8.6M to $14.2MMar 7, 2017 to Jul 23, 2018
- Other offices · unset to 1.0Mar 7, 2017 to Jul 23, 2018
- Discretionary RAUM · $8.6M to $14.2MMar 7, 2017 to Jul 23, 2018
- Non-discretionary RAUM · $5.3M to $9.3MMar 7, 2017 to Jul 23, 2018
- Pooled vehicle RAUM · unset to 23536258.0Mar 7, 2017 to Jul 23, 2018
- RAUM · $13.9M to $23.5MMar 7, 2017 to Jul 23, 2018
- Assets in custody · $42.9M to $8.6MSep 12, 2016 to Mar 7, 2017
- Discretionary RAUM · $42.9M to $8.6MSep 12, 2016 to Mar 7, 2017
- Non-discretionary RAUM · $10.1M to $5.3MSep 12, 2016 to Mar 7, 2017
- RAUM · $53.0M to $13.9MSep 12, 2016 to Mar 7, 2017
- Accounts · 2 to 3Feb 10, 2015 to Mar 30, 2016
- Assets in custody · $50.9M to $42.9MFeb 10, 2015 to Mar 30, 2016
- Private funds · 2 to 3Feb 10, 2015 to Mar 30, 2016
- Discretionary RAUM · $50.9M to $42.9MFeb 10, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $0 to $10.1MFeb 10, 2015 to Mar 30, 2016
- RAUM · $50.9M to $53.0MFeb 10, 2015 to Mar 30, 2016
- Advisory employees · 8 to 6Jun 2, 2014 to Feb 10, 2015
- Assets in custody · $53.6M to $50.9MJun 2, 2014 to Feb 10, 2015
- Employees · 10 to 8Jun 2, 2014 to Feb 10, 2015
- Discretionary RAUM · $53.6M to $50.9MJun 2, 2014 to Feb 10, 2015
- RAUM · $53.6M to $50.9MJun 2, 2014 to Feb 10, 2015
Signals
2 dated events
- D••• Xin (Chief Executive Officer) no longer on Schedule A of C•• C•••••• M••••••••• L••• (listed 2020-06-03, absent 2021-08-16)Aug 16, 2021 · Control person left · inference
- C•• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 14, 2013 · 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