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
P••••• I••••••••• A•••••••
Legal name P••••• I••••••••• A••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Jun 19, 2019 · 16 filings
SEC status approved since Aug 13, 2019
RAUM
$1.4B
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
22
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
6
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2026
Mar 30, 2020$2.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20200 then
Employees (5.A)22 as of Mar 31, 2026
Mar 30, 202017 then
Private funds6 as of Mar 31, 2026
Mar 30, 20202 then
RAUM +2.7% over the last fiscal year-23% 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
- $104MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%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
- Custody
- $1.2B, 11 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
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
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 11 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• A••• M••••• F••• | Hedge Fund | $1.7B | 99 | Oct 8, 2014 |
| P••••• A••• E••••• M••••• F••• | Other Private Fund | $565M | 51 | Mar 30, 2020 |
| P••••• J•••• E••••• M••••• F••• | Other Private Fund | $149M | 15 | Jun 22, 2021 |
| P•••••• M•••••• J•••• G••••• O••••••••• L• | Private Equity Fund | $67.6M | 70 | Oct 27, 2020 |
| P••••• J•••• M••••• F••• | Hedge Fund | $27.4M | 2 | Oct 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••• V•••• M•• Y••• · Cfo & Ccocontrolsince 06/2014 · owns less than 5%
- L••• K••••••• S•• L•••• · Director & Co-Ciocontrolsince 07/2014 · owns 50% to 75%
- T••••••••• M•••••• N•• · Director & Coocontrolsince 07/2014 · owns less than 5%
- Y••••••• M••••••• S•••••• · Director & Co-Ciocontrolsince 03/2014 · owns 50% to 75%
- L••• K••••••• S•• L•••• · Ownercontrolsince 06/2018 · owns 25% to 50% of H••••••• F•••••• L••
- Y••••••• M••••••• S•••••• · Ownercontrolsince 07/2021 · owns 75% or more of L••••• E• E••••• C•••••• L••••••
Entity owners
- P••••• I••••••••• M••••••••• L•••••• · Sole Shareholderdirect · owns 75% or more
- H••••••• F•••••• L•• · Ownerindirect · owns 50% to 75% of P••••• I••••••••• M••••••••• L••••••
- L••••• E• E••••• C•••••• L•••••• · Ownerindirect · owns 50% to 75% of P••••• I••••••••• M••••••••• L••••••
- C••••••••• T•••• C•••••• · Trusteeindirect · owns F of G•••••• T••••• H••••••• T•••• T••
- G•••••• T••••• H••••••• T•••• T•• · Ownerindirect · owns 50% to 75% of H••••••• F•••••• L••
Related persons
Schedule D 7.A
- M•••••• G••••• P•••••••• I•••investment advisery
- P••••••••• J•••• G••••• O••••••••• G• L••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Tokyo, Japan4 employees
What changed
consecutive filings, newest first
- Accounts · 12 to 13Apr 1, 2025 to Mar 31, 2026
- Advisory employees · 14 to 13Apr 1, 2025 to Mar 31, 2026
- Pooled vehicle clients · 12 to 13Apr 1, 2025 to Mar 31, 2026
- Assets in custody · $1.2B to $1.2BApr 1, 2025 to Mar 31, 2026
- Employees · 27 to 22Apr 1, 2025 to Mar 31, 2026
- Private funds · 5 to 6Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.4BApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BApr 1, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.4BApr 1, 2025 to Mar 31, 2026
- Assets in custody · $2.4B to $1.2BMar 26, 2024 to Apr 1, 2025
- Financial planning clients · unset to Mar 26, 2024 to Apr 1, 2025
- HQ state · unset to Mar 26, 2024 to Apr 1, 2025
- Discretionary RAUM · $2.5B to $1.3BMar 26, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $2.5B to $1.3BMar 26, 2024 to Apr 1, 2025
- RAUM · $2.5B to $1.3BMar 26, 2024 to Apr 1, 2025
- Accounts · 9 to 12Oct 31, 2023 to Mar 26, 2024
- Advisory employees · 13 to 14Oct 31, 2023 to Mar 26, 2024
- Pooled vehicle clients · 9 to 12Oct 31, 2023 to Mar 26, 2024
- Assets in custody · $2.9B to $2.4BOct 31, 2023 to Mar 26, 2024
- Employees · 26 to 27Oct 31, 2023 to Mar 26, 2024
- Discretionary RAUM · $2.9B to $2.5BOct 31, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $2.9B to $2.5BOct 31, 2023 to Mar 26, 2024
- RAUM · $2.9B to $2.5BOct 31, 2023 to Mar 26, 2024
- Private funds · 4 to 5Mar 6, 2023 to Oct 31, 2023
- Advisory employees · 11 to 13May 18, 2022 to Mar 6, 2023
- Assets in custody · $3.1B to $2.9BMay 18, 2022 to Mar 6, 2023
- Employees · 24 to 26May 18, 2022 to Mar 6, 2023
- Discretionary RAUM · $3.1B to $2.9BMay 18, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $3.1B to $2.9BMay 18, 2022 to Mar 6, 2023
- RAUM · $3.1B to $2.9BMay 18, 2022 to Mar 6, 2023
- Related adviser · false to trueMay 18, 2022 to Mar 6, 2023
- Accounts · 4 to 9Mar 30, 2022 to May 18, 2022
- Pooled vehicle clients · 4 to 9Mar 30, 2022 to May 18, 2022
- Assets in custody · unset to 3094090147.0Mar 30, 2022 to May 18, 2022
- Custody of client assets · false to trueMar 30, 2022 to May 18, 2022
- Advisory employees · 9 to 11Oct 20, 2021 to Mar 30, 2022
- Employees · 20 to 24Oct 20, 2021 to Mar 30, 2022
- Discretionary RAUM · $3.3B to $3.1BOct 20, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $3.3B to $3.1BOct 20, 2021 to Mar 30, 2022
- RAUM · $3.3B to $3.1BOct 20, 2021 to Mar 30, 2022
Signals
3 dated events
- P••••• I••••••••• A••••••• reported RAUM $1.3B, down 48% from $2.5B (2024-03-26 to 2025-04-01)Apr 1, 2025 · RAUM change · derived
- P••••• I••••••••• A••••••• reported RAUM $2.8B, up 26% from $2.2B (2019-10-22 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- P••••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jun 19, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P••••• I••••••••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- P•••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 852 3589 6470reportedpublic 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
- 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