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
B••••• A•••• M••••••••• ••••••••• C••• L••••••
Latest filing Apr 2, 2026
First filing on the tape Aug 22, 2013 · 31 filings
SEC status approved since Sep 5, 2013
RAUM
$17B
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
68
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$17B as of Apr 2, 2026
Mar 31, 2014$706M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 2, 2026
Mar 31, 20140 then
Employees (5.A)68 as of Apr 2, 2026
Mar 31, 201425 then
Private funds: no history
RAUM +27% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $320MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%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
- +27%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $14B, 29 clientsreportedItem 9.A
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a broker-dealer (6.A.1)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$14B82%
- Banks and thrifts$2.1B12%
- State and municipal entities$696M4.0%
- Pension and profit-sharing plans$366M2.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 54reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14B for 29 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.82 institutional_share=0.06 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• S••••••• · D•••••Orcontrolsince 06/2016 · owns less than 5%
- H•• K•• · D•••••Orsince 12/2022 · owns less than 5%
- O•• Z•••••• · D•••••Orsince 12/2022 · owns less than 5%
- P•••• L•••••• · Head Of Risk, Legal And Compl•••Cesince 09/2023 · owns less than 5%
- W•• H•••••• · D•••••Orsince 05/2023 · owns less than 5%
- Z•••• Y• · D•••••Orsince 12/2022 · owns less than 5%
Entity owners
- B••••• A•••• M••••••••• C••• L•••••• · Shareholderdirect · owns 75% or more
- C•••• M•••••••• F••• M••••••••• C••• L••• · Shareholderdirect · owns 25% to 50%
- C•••• G•••••••• A•••• M••••••••• C••••••••• · Shareholderindirect · owns 25% to 50% of B••••• A•••• M••••••••• C••• L••••••
- C•••• M•••••••• B••• C••• L••• · Shareholderindirect · owns 50% to 75% of C•••• M•••••••• F••• M••••••••• C••• L•••
- C•••• M•••••••• C•••• D••••• I••••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••• M•••••••• B••• C••• L•••
- C•••• M•••••••• F•••••••• H••••••• C••• L••• · Shareholderindirect · owns 75% or more of C•• H••••••• L••••••
- C•••• M•••••••• G•••• L•••••• · Shareholderindirect · owns 75% or more of S••••••• Zhaorong Investment Holding Co., L••••••
- C•••• M•••••••• H••••••• •••• K•••• C•••••• L•••••• · Shareholderindirect · owns 50% to 75% of C•••• M•••••••• B••• C••• L•••
- C•••• M•••••••• S••••••••• C••• L•••••• · Shareholderindirect · owns 75% or more of B••••• A•••• M••••••••• C••• L••••••
- C•••• M•••••••• S•••• N••••••••• C••• L•••••• · Shareholderindirect · owns 25% to 50% of C•••• M•••••••• S••••••••• C••• L••••••
- C•• H••••••• L•••••• · Shareholderindirect · owns 75% or more of G••• I•••• L••••••
- C••• C•••••••• L•••••• · Shareholderindirect · owns 75% or more of V••••• H••••••• C•••••• L••••••
- G••• I•••• L•••••• · Shareholderindirect · owns 25% to 50% of C•••• M•••••••• C•••• D••••• I••••••••• L••••••
- M••••••• O• F•••••• O• T•• P••••••• R••••••• O• C•••• · Shareholderindirect · owns 50% to 75% of C•••• G•••••••• A•••• M••••••••• C•••••••••
- S••••••• C•• Y••• I••••••••• D••••••••• C•••••• L••• · Shareholderindirect · owns 50% to 75% of C•••• M•••••••• S••••••••• C••• L••••••
- S••••••••• A••••• S••••••••• A•• A••••••••• C••••••••• O• S•••• C••••••• P•• · Shareholderindirect · owns 75% or more of C•••• M•••••••• G•••• L••••••
- V••••• H••••••• C•••••• L•••••• · Shareholderindirect · owns 50% to 75% of C•••• M•••••••• B••• C••• L•••
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
- Advisory employees · 17 to 15Mar 28, 2025 to Apr 2, 2026
- Pension plan clients · 2 to 3Mar 28, 2025 to Apr 2, 2026
- Pooled vehicle clients · 45 to 46Mar 28, 2025 to Apr 2, 2026
- Assets in custody · $61.5M to $14BMar 28, 2025 to Apr 2, 2026
- Employees · 63 to 68Mar 28, 2025 to Apr 2, 2026
- Discretionary RAUM · $14B to $17BMar 28, 2025 to Apr 2, 2026
- Pension RAUM · $470M to $366MMar 28, 2025 to Apr 2, 2026
- Pooled vehicle RAUM · $11B to $14BMar 28, 2025 to Apr 2, 2026
- RAUM · $14B to $17BMar 28, 2025 to Apr 2, 2026
- Accounts · 51 to 54Mar 14, 2024 to Mar 28, 2025
- Advisory employees · 11 to 17Mar 14, 2024 to Mar 28, 2025
- Pooled vehicle clients · 37 to 45Mar 14, 2024 to Mar 28, 2025
- Assets in custody · $97.6M to $61.5MMar 14, 2024 to Mar 28, 2025
- Employees · 51 to 63Mar 14, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 28, 2025
- HQ state · unset to Mar 14, 2024 to Mar 28, 2025
- Discretionary RAUM · $11B to $14BMar 14, 2024 to Mar 28, 2025
- Pension RAUM · $1.6B to $470MMar 14, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $6.3B to $11BMar 14, 2024 to Mar 28, 2025
- RAUM · $11B to $14BMar 14, 2024 to Mar 28, 2025
- Accounts · 46 to 51Oct 12, 2023 to Mar 14, 2024
- Advisory employees · 12 to 11Oct 12, 2023 to Mar 14, 2024
- Assets in custody · unset to 97583777.0Oct 12, 2023 to Mar 14, 2024
- Custody of client assets · false to trueOct 12, 2023 to Mar 14, 2024
- Employees · 50 to 51Oct 12, 2023 to Mar 14, 2024
- Discretionary RAUM · $11B to $11BOct 12, 2023 to Mar 14, 2024
- Pension RAUM · $1.7B to $1.6BOct 12, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $6.7B to $6.3BOct 12, 2023 to Mar 14, 2024
- RAUM · $11B to $11BOct 12, 2023 to Mar 14, 2024
- Advisory activities · 3 to 2Feb 12, 2023 to Mar 14, 2023
- Accounts · 35 to 46Oct 10, 2022 to Feb 12, 2023
- Advisory employees · 11 to 12Oct 10, 2022 to Feb 12, 2023
- Pension plan clients · unset to 2.0Oct 10, 2022 to Feb 12, 2023
- Pooled vehicle clients · 26 to 37Oct 10, 2022 to Feb 12, 2023
- Employees · 47 to 50Oct 10, 2022 to Feb 12, 2023
- Discretionary RAUM · $7.1B to $11BOct 10, 2022 to Feb 12, 2023
- Pension RAUM · $1.7B to $1.7BOct 10, 2022 to Feb 12, 2023
- Pooled vehicle RAUM · $1.6B to $6.7BOct 10, 2022 to Feb 12, 2023
- RAUM · $7.1B to $11BOct 10, 2022 to Feb 12, 2023
- Accounts · 43 to 35Mar 30, 2022 to Oct 10, 2022
Signals
10 dated events
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $17.3B, up 27% from $13.6B (2025-03-28 to 2026-04-02)Apr 2, 2026 · RAUM change · derived
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $13.6B, up 26% from $10.8B (2024-03-14 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $10.8B, up 52% from $7.1B (2022-10-10 to 2023-02-12)Feb 12, 2023 · RAUM change · derived
- Xiangyang Jiang (Chairman Of Board/Director) no longer on Schedule A of B••••• A•••• M••••••••• ••••••••• C••• L•••••• (listed 2022-10-10, absent 2023-02-12)Feb 12, 2023 · Control person left · inference
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $7.1B, up 202% from $2.3B (2022-03-30 to 2022-10-10)Oct 10, 2022 · RAUM change · derived
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $2.3B, down 75% from $9.4B (2021-04-12 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- W••••• Song (Director) no longer on Schedule A of B••••• A•••• M••••••••• ••••••••• C••• L•••••• (listed 2021-04-12, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $9.4B, up 47% from $6.4B (2020-08-01 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• reported RAUM $6.4B, up 78% from $3.6B (2019-03-25 to 2020-04-03)Apr 3, 2020 · RAUM change · derived
- B••••• A•••• M••••••••• ••••••••• C••• L•••••• filed its initial SEC registration (Form ADV)Aug 22, 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 852-2537-6658reportedpublic record, Form ADV, Apr 2, 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