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
S•••••• F••• M••••••••• G•••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 8, 2018 · 11 filings
SEC status approved since Mar 12, 2018
RAUM
$490M
reported, Item 5.F
Discretionary
51%
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$490M as of Mar 31, 2026
Mar 22, 2019$333M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 22, 20190 then
Employees (5.A)9 as of Mar 31, 2026
Mar 22, 20198 then
Private funds5 as of Mar 31, 2026
Mar 22, 20193 then
RAUM +8.1% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $49.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 34%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
- +8.1%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 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$250M51%
- Charitable organizations$168M34%
- Corporations and businesses$72.4M15%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 10reported
- 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=0.51 institutional_share=0.34 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• A••• M••••• N•••••• M••••• F••• | Hedge Fund | $131M | 16 | Mar 24, 2020 |
| S•••••• G••••• F••• | Hedge Fund | $83.2M | 28 | Jul 29, 2015 |
| S•••••• G••••• M••••• N•••••• M••••• F••• | Hedge Fund | $77.1M | 35 | Feb 16, 2017 |
| S•••••• A••• M••••• F••• | Hedge Fund | $70.4M | 43 | Dec 5, 2013 |
| A••••• A••• P•••••• F•••no longer reported | Hedge Fund | $21.5M | 10 | Dec 5, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C•••• Y•••• · Director, Business Management & Controlcontrolsince 10/2010 · owns less than 5%
- L••• S•• H•• E•••• · Chief Executive Officercontrolsince 01/2010 · owns less than 5%
- T••••• R•••••• · Directorcontrolsince 07/2017 · owns less than 5%
- L••• S•• H•• E•••• · Sole Shareholder Of A••• • A••••••••• L••••••controlsince 02/2009 · owns 75% or more of A••• • A••••••••• L••••••
Entity owners
- A••• • A••••••••• L•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- S•••••• F••• M••••••••• P••• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 10Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Employees · 8 to 9Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $291M to $250MMar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $163M to $240MMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $291M to $250MMar 28, 2025 to Mar 31, 2026
- RAUM · $453M to $490MMar 28, 2025 to Mar 31, 2026
- Corporate clients · 2 to 3Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 8 to 7Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- HQ state · unset to Mar 28, 2024 to Mar 28, 2025
- Private funds · 4 to 5Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $518M to $291MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $125M to $163MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $518M to $291MMar 28, 2024 to Mar 28, 2025
- RAUM · $643M to $453MMar 28, 2024 to Mar 28, 2025
- Accounts · 14 to 11Mar 29, 2023 to Mar 28, 2024
- Charity clients · 2 to 1Mar 29, 2023 to Mar 28, 2024
- Corporate clients · 3 to 2Mar 29, 2023 to Mar 28, 2024
- Employees · 10 to 8Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $618M to $518MMar 29, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $190M to $125MMar 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $618M to $518MMar 29, 2023 to Mar 28, 2024
- RAUM · $808M to $643MMar 29, 2023 to Mar 28, 2024
- Related adviser · false to trueMar 29, 2023 to Mar 28, 2024
- Related bank · true to falseMar 29, 2023 to Mar 28, 2024
- Accounts · 15 to 14Nov 7, 2022 to Mar 29, 2023
- Corporate clients · 4 to 3Nov 7, 2022 to Mar 29, 2023
- Discretionary RAUM · $586M to $618MNov 7, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $311M to $190MNov 7, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $586M to $618MNov 7, 2022 to Mar 29, 2023
- RAUM · $898M to $808MNov 7, 2022 to Mar 29, 2023
- Accounts · 12 to 15Mar 23, 2021 to Mar 28, 2022
- Charity clients · 1 to 2Mar 23, 2021 to Mar 28, 2022
- Corporate clients · 2 to 4Mar 23, 2021 to Mar 28, 2022
- Employees · 9 to 10Mar 23, 2021 to Mar 28, 2022
- HQ city · HONG KONG to CENTRALMar 23, 2021 to Mar 28, 2022
- Discretionary RAUM · $551M to $586MMar 23, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $274M to $311MMar 23, 2021 to Mar 28, 2022
- Pooled vehicle RAUM · $551M to $586MMar 23, 2021 to Mar 28, 2022
Signals
6 dated events
- S•••••• F••• M••••••••• G•••• L•••••• reported RAUM $453.4M, down 29% from $642.6M (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- Kit Y••• C•••••••• C•••• (Chief Compliance Officer) no longer on Schedule A of S•••••• F••• M••••••••• G•••• L•••••• (listed 2023-03-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Kit Y••• C•••••••• C•••• (Chief Compliance Officer) appeared on Schedule A of S•••••• F••• M••••••••• G•••• L••••••Mar 28, 2022 · Control person joined · fact
- S•••••• F••• M••••••••• G•••• L•••••• reported RAUM $825.4M, up 81% from $455.4M (2020-03-24 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- S•••••• F••• M••••••••• G•••• L•••••• reported RAUM $455.4M, up 37% from $333.0M (2019-03-22 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- S•••••• F••• M••••••••• G•••• L•••••• filed its initial SEC registration (Form ADV)Feb 8, 2018 · 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.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +852 2851 6772reportedpublic record, Form ADV, Mar 31, 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
- Other 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