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
R•• C•••• A•••• M••••••••• L••••••
Latest filing Apr 9, 2026
First filing on the tape Jul 17, 2015 · 26 filings
SEC status approved since Jul 22, 2015
RAUM
$1.5B
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
33
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$1.5B as of Apr 9, 2026
Mar 30, 2016$311M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 9, 2026
Mar 30, 20160 then
Employees (5.A)33 as of Apr 9, 2026
Mar 30, 20169 then
Private funds2 as of Apr 9, 2026
Mar 30, 20162 then
RAUM -30% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 9, 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
- $515MderivedRAUM 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
- -30%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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=0.91 institutional_share=0.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• C•••• A••• ••••••• F••• | Hedge Fund | $1.3B | 57 | Oct 23, 2013 |
| P•• M•••••• F•••• S••• • S••••••••• P•••••••• 2•• | Hedge Fund | $191M | 6 | Dec 17, 2015 |
| R• M•• C••••• F••• L•••••• | Hedge Fund | $19.7M | 2 | Mar 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C•••• K•••• H•• C••••• · Chief Operating Officercontrolsince 08/2012 · owns less than 5%
- H••• D•• · Chief Risk Officercontrolsince 01/2019 · owns less than 5%
- K••••• H•• C••• C•••••• · Chief Legal Officercontrolsince 06/2017 · owns less than 5%
- L••• K•• W•• A••••• · Chief Administration Officercontrolsince 08/2017 · owns less than 5%
- L••• K••• L•••• W•••••• · Chief Executive Officer And 100% Ownercontrolsince 06/2012 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Apr 9, 2026RAUM (Item 5.F) moved from $2,206,762,101 to $1,545,172,243 (-30.0%) between the annual amendments of 2025-03-31 and 2026-04-09; the peer median change was +11.0% (1368 comparable advisers, 3.0th percentile of changes)peers: ASSET_M••••••, $1B to $5B (1,368) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 17 to 13Mar 31, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Employees · 41 to 33Mar 31, 2025 to Mar 31, 2026
- Private funds · 3 to 2Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $2.2B to $1.5BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.7B to $1.4BMar 31, 2025 to Mar 31, 2026
- RAUM · $2.2B to $1.5BMar 31, 2025 to Mar 31, 2026
- Advisory employees · 18 to 17Apr 2, 2024 to Mar 31, 2025
- Employees · 43 to 41Apr 2, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 2, 2024 to Mar 31, 2025
- HQ state · unset to Apr 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $2.0B to $2.2BApr 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.7BApr 2, 2024 to Mar 31, 2025
- RAUM · $2.0B to $2.2BApr 2, 2024 to Mar 31, 2025
- Advisory activities · 1 to 2Mar 31, 2023 to Mar 28, 2024
- Employees · 44 to 43Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.7B to $2.0BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.2B to $1.6BMar 31, 2023 to Mar 28, 2024
- RAUM · $2.7B to $2.0BMar 31, 2023 to Mar 28, 2024
- Advisory employees · 16 to 18Mar 31, 2022 to Mar 31, 2023
- Employees · 42 to 44Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.1B to $2.7BMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $1.9B to $2.2BMar 31, 2022 to Mar 31, 2023
- RAUM · $2.1B to $2.7BMar 31, 2022 to Mar 31, 2023
- Advisory employees · 12 to 16Apr 8, 2021 to Mar 31, 2022
- Employees · 45 to 42Apr 8, 2021 to Mar 31, 2022
- Discretionary RAUM · $5.0B to $2.1BApr 8, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $4.4B to $1.9BApr 8, 2021 to Mar 31, 2022
- RAUM · $5.0B to $2.1BApr 8, 2021 to Mar 31, 2022
- Accounts · 3 to 4Apr 9, 2020 to Mar 31, 2021
- Advisory employees · 10 to 12Apr 9, 2020 to Mar 31, 2021
- Employees · 39 to 45Apr 9, 2020 to Mar 31, 2021
- Discretionary RAUM · $3.2B to $5.0BApr 9, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $3.2B to $4.4BApr 9, 2020 to Mar 31, 2021
- RAUM · $3.2B to $5.0BApr 9, 2020 to Mar 31, 2021
- Advisory employees · 6 to 10Mar 29, 2019 to Apr 1, 2020
- Employees · 30 to 39Mar 29, 2019 to Apr 1, 2020
- Discretionary RAUM · $2.7B to $3.2BMar 29, 2019 to Apr 1, 2020
- Pooled vehicle RAUM · $2.7B to $3.2BMar 29, 2019 to Apr 1, 2020
Signals
9 dated events
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $1.5B, down 30% from $2.2B (2025-03-31 to 2026-03-31)Mar 31, 2026 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $2.0B, down 28% from $2.7B (2023-03-31 to 2024-03-28)Mar 28, 2024 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $2.7B, up 28% from $2.1B (2022-03-31 to 2023-03-31)Mar 31, 2023 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $2.1B, down 57% from $5.0B (2021-04-08 to 2022-03-31)Mar 31, 2022 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $5.0B, up 57% from $3.2B (2020-04-09 to 2021-03-31)Mar 31, 2021 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $2.7B, up 43% from $1.9B (2018-03-27 to 2019-03-28)Mar 28, 2019 · ria raum c•••ge · derived
- Dik Hui (Chief Risk Officer) appeared on Schedule A of R•• C•••• A•••• M••••••••• L••••••Mar 28, 2019 · Control person joined · fact
- R•• C•••• A•••• M••••••••• L•••••• reported RAUM $1.9B, up 32% from $1.5B (2017-09-12 to 2018-03-27)Mar 27, 2018 · ria raum c•••ge · derived
- R•• C•••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Jul 17, 2015 · 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
- r•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +852 3468 6173reportedpublic record, Form ADV, Apr 9, 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