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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

S•• A••• C•••••• L••••••

Former SEC-registered adviserHong Kong, CRD 170455SEC 801-79390IAPD
Latest filing Feb 24, 2017
First filing on the tape Mar 12, 2014 · 6 filings
RAUM
$332M
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
10
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$332M gross assets
History
6 filings and snapshots on the tape
RAUM$332M as of Feb 24, 2017
Feb 3, 2015$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 24, 2017
Feb 3, 20150 then
Employees (5.A)10 as of Feb 24, 2017
Feb 3, 201510 then
Private funds2 as of Feb 24, 2017
Feb 3, 20152 then
RAUM -20% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 24, 2017; 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
$82.9MderivedRAUM 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
-20%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
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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      P•• M•••••• F•••• S•• • S••••••••• P•••••••• 2••Hedge Fund$179M26Feb 3, 2015
      S•• A••• O••••••••• M••••• F••• L••••••Hedge Fund$141M30Mar 12, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• G•••••••• J•••••• C•••••• · Directorcontrol
        since 11/2014 · owns less than 5%
      • L••• H••••••• N•• · Chief Investment Officer And Shareholder In Applicant And S•• C•••••• L••••••control
        since 01/2013 · owns 25% to 50%
      • W••• P•• T••• N•• · Directorcontrol
        since 09/2013 · owns less than 5%
      • Y••• A••••• Y• N•• · Shareholder In Applicant And S•• C•••••• L••••••control
        since 01/2013 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 8
        Apr 20, 2016 to Feb 24, 2017
      • Employees · 11 to 10
        Apr 20, 2016 to Feb 24, 2017
      • Discretionary RAUM · $417M to $332M
        Apr 20, 2016 to Feb 24, 2017
      • RAUM · $417M to $332M
        Apr 20, 2016 to Feb 24, 2017
      • Advisory employees · 8 to 9
        Feb 17, 2015 to Mar 24, 2016
      • Assets in custody · 61504141.0 to unset
        Feb 17, 2015 to Mar 24, 2016
      • Custody of client assets · true to false
        Feb 17, 2015 to Mar 24, 2016
      • Employees · 10 to 11
        Feb 17, 2015 to Mar 24, 2016
      • Discretionary RAUM · $192M to $417M
        Feb 17, 2015 to Mar 24, 2016
      • RAUM · $192M to $417M
        Feb 17, 2015 to Mar 24, 2016
      • Assets in custody · $132M to $61.5M
        Feb 3, 2015 to Feb 17, 2015
      • Discretionary RAUM · $132M to $192M
        Feb 3, 2015 to Feb 17, 2015
      • RAUM · $132M to $192M
        Feb 3, 2015 to Feb 17, 2015
      • Accounts · 3 to 4
        Mar 12, 2014 to Feb 3, 2015
      • Assets in custody · $40.0M to $132M
        Mar 12, 2014 to Feb 3, 2015
      • Private funds · 1 to 2
        Mar 12, 2014 to Feb 3, 2015
      • Discretionary RAUM · $40.0M to $132M
        Mar 12, 2014 to Feb 3, 2015
      • RAUM · $40.0M to $132M
        Mar 12, 2014 to Feb 3, 2015
      Signals
      1 dated events
      • S•• A••• C•••••• L•••••• filed its initial SEC registration (Form ADV)
        Mar 12, 2014 · 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