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•••••• P••••••• L••••••
Latest filing Sep 14, 2026
First filing on the tape Jul 10, 2017 · 16 filings
SEC status approved since Aug 25, 2017
RAUM
$547M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.0%
$16.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
23
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$547M as of Mar 26, 2026
Mar 28, 2018$654M then
HNW client RAUM$16.2M as of Mar 26, 2026
Mar 28, 2018$10.0M then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 28, 20180 then
Employees (5.A)23 as of Mar 26, 2026
Mar 28, 201819 then
Private funds5 as of Mar 26, 2026
Mar 28, 20184 then
RAUM +51% over the last fiscal year-7.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 14, 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
- $54.7MderivedRAUM 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
- +51%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$515M94%
- Corporations and businesses$16.4M3.0%
- High-net-worth individuals$16.2M3.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.03 fund_share=0.94 institutional_share=0.0 related_bd= related_bank= 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• A•• F•••no longer reported | Private Equity Fund | $166M | 2 | Mar 22, 2021 |
| A•••• E••••• S•••••• O••••••••• P•••••••• M••••• F••• L•••••• | Hedge Fund | $141M | 82 | Aug 29, 2014 |
| A•••• O••••••••• A••••••• R••••• F••• L••••••no longer reported | Hedge Fund | $129M | 66 | Aug 29, 2014 |
| A•••• O••••••••• A••••••• R••••• M••••• F••• L•••••• | Hedge Fund | $84.2M | 59 | Mar 30, 2015 |
| S••••• I••••• F••• | Hedge Fund | $74.6M | 5 | Mar 27, 2023 |
| A•••• T••••••••• A••••••• R••••• F••• | Hedge Fund | $47.9M | 56 | Aug 29, 2014 |
| G•••••• C•••• E•• O••••••••• A••••••• R••••• F••• | Hedge Fund | $46.1M | 12 | Mar 29, 2022 |
| A••••••• M••••• F•••no longer reported | Hedge Fund | $15.5M | 26 | Aug 29, 2014 |
| A•••• H••••••••• D•••••••• M••••• F••• | Hedge Fund | $12.8M | 10 | Mar 7, 2017 |
| L• G••••• F••• | Hedge Fund | $9.6M | 3 | Mar 27, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••• C••••• Y••• · Director, Membercontrolsince 11/2019 · owns 10% to 25%
- R•••• D••••• C•••••••• · Director, Membercontrolsince 03/2012 · owns 25% to 50%
- S•• B••• H• · Chief Operating Officer, And Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- Y••• Y••• T•• A•• · Director, Membercontrolsince 01/2011 · owns less than 5%
- G•••••• A••••••• E••••• · Membersince 11/2019 · owns 10% to 25%
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
- Financial planning clients · to unsetMar 26, 2026 to Sep 14, 2026
- HQ state · to unsetMar 26, 2026 to Sep 14, 2026
- Private funds · 5 to unsetMar 26, 2026 to Sep 14, 2026
- Related adviser · false to unsetMar 26, 2026 to Sep 14, 2026
- Related bank · false to unsetMar 26, 2026 to Sep 14, 2026
- Related broker-dealer · false to unsetMar 26, 2026 to Sep 14, 2026
- Related insurance company · false to unsetMar 26, 2026 to Sep 14, 2026
- Succession · false to unsetMar 26, 2026 to Sep 14, 2026
- Accounts · 7 to 10May 6, 2025 to Mar 26, 2026
- Employees · 22 to 23May 6, 2025 to Mar 26, 2026
- Discretionary RAUM · $363M to $547MMay 6, 2025 to Mar 26, 2026
- HNW RAUM · $8.3M to $16.2MMay 6, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $354M to $515MMay 6, 2025 to Mar 26, 2026
- RAUM · $363M to $547MMay 6, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 28, 2025 to May 6, 2025
- Accounts · 10 to 7Mar 25, 2024 to Mar 28, 2025
- Advisory employees · 20 to 14Mar 25, 2024 to Mar 28, 2025
- Pooled vehicle clients · 7 to 5Mar 25, 2024 to Mar 28, 2025
- Employees · 28 to 22Mar 25, 2024 to Mar 28, 2025
- HQ state · unset to Mar 25, 2024 to Mar 28, 2025
- Private funds · 7 to 5Mar 25, 2024 to Mar 28, 2025
- Discretionary RAUM · $472M to $363MMar 25, 2024 to Mar 28, 2025
- HNW RAUM · $6.0M to $8.3MMar 25, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $417M to $354MMar 25, 2024 to Mar 28, 2025
- RAUM · $472M to $363MMar 25, 2024 to Mar 28, 2025
- Accounts · 14 to 10Jul 3, 2023 to Mar 25, 2024
- Advisory employees · 21 to 20Jul 3, 2023 to Mar 25, 2024
- Employees · 32 to 28Jul 3, 2023 to Mar 25, 2024
- Discretionary RAUM · $682M to $472MJul 3, 2023 to Mar 25, 2024
- HNW RAUM · $9.9M to $6.0MJul 3, 2023 to Mar 25, 2024
- Pension RAUM · 130464000.0 to unsetJul 3, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $496M to $417MJul 3, 2023 to Mar 25, 2024
- RAUM · $682M to $472MJul 3, 2023 to Mar 25, 2024
- Advisory employees · 23 to 21Aug 19, 2022 to Mar 27, 2023
- Pooled vehicle clients · 6 to 7Aug 19, 2022 to Mar 27, 2023
- Employees · 33 to 32Aug 19, 2022 to Mar 27, 2023
- Private funds · 6 to 7Aug 19, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.1B to $682MAug 19, 2022 to Mar 27, 2023
- HNW RAUM · $17.7M to $9.9MAug 19, 2022 to Mar 27, 2023
- Pension RAUM · $192M to $130MAug 19, 2022 to Mar 27, 2023
Signals
9 dated events
- R••• C•••••• P••••••• L•••••• reported RAUM $547.2M, up 51% from $362.8M (2025-05-06 to 2026-03-26)Mar 26, 2026 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• reported RAUM $472.4M, down 31% from $682.0M (2023-07-03 to 2024-03-25)Mar 25, 2024 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• reported RAUM $682.0M, down 39% from $1.1B (2022-08-19 to 2023-03-27)Mar 27, 2023 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• reported RAUM $1.1B, up 31% from $849.5M (2021-03-22 to 2022-03-29)Mar 29, 2022 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• reported RAUM $849.5M, up 50% from $565.3M (2020-03-30 to 2021-03-22)Mar 22, 2021 · ria raum c•••ge · derived
- Yuen Chung Chan (Director, Member) appeared on Schedule A of R••• C•••••• P••••••• L••••••Mar 30, 2020 · Control person joined · fact
- R••• C•••••• P••••••• L•••••• reported RAUM $459.0M, down 30% from $654.3M (2018-03-28 to 2019-03-25)Mar 25, 2019 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• reported RAUM $654.3M, up 25% from $521.9M (2017-08-22 to 2018-03-28)Mar 28, 2018 · ria raum c•••ge · derived
- R••• C•••••• P••••••• L•••••• filed its initial SEC registration (Form ADV)Jul 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- R••• C•••••• P••••••• L•••••• · Private Equityshared crd · organization
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 3973 6700reportedpublic record, Form ADV, Sep 14, 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