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
C•••••• A•••• M••••••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Jul 24, 2018 · 14 filings
SEC status approved since Aug 24, 2018
RAUM
$5.9B
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
35
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$5.9B as of Mar 31, 2026
Mar 21, 2019$3.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 21, 20190 then
Employees (5.A)35 as of Mar 31, 2026
Mar 21, 201925 then
Private funds3 as of Mar 31, 2026
Mar 21, 20195 then
RAUM +9.6% over the last fiscal year+22% 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
- $733MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 48%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
- +9.6%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
- $2.0B, 6 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B52%
- State and municipal entities$2.8B48%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.52 institutional_share=0.48 related_bd=false related_bank=true 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 |
|---|---|---|---|---|
| C•••••• A••• M•••• M••••• F••• L•• | Hedge Fund | $1.5B | 81 | Sep 7, 2016 |
| C•••••• A••• F•••• I••••• F••• | Hedge Fund | $394M | 3 | Mar 6, 2018 |
| C•••••• A••• R•••• D••••• F••• L••no longer reported | Hedge Fund | $275M | 8 | Sep 7, 2016 |
| C•••••• A••• M•••• J•• F••• | Hedge Fund | $128M | 4 | Sep 7, 2016 |
| C•••••• A••• R•••• 2••• F••• L••no longer reported | Hedge Fund | $0 | 0 | Sep 7, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• T•• P••• · Head Of Operationscontrolsince 06/2011 · owns less than 5%
- H•••• F•••••••• J•••• · Chief Executive Officercontrolsince 03/2015 · owns less than 5%
- K••• K••• C•••• · Director / Chief Investment Officercontrolsince 01/2011 · owns less than 5%
- L•••••• R••••• · Director / Portfolio Managercontrolsince 08/2011 · owns less than 5%
- K••• K••• C•••• · Shareholdercontrolsince 06/2011 · owns 75% or more of C•••••• H••••••• L••••••
Entity owners
- C•••••• I••••••••• L•••••• · Shareholderdirect · owns 75% or more
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• L••••••
Related persons
Schedule D 7.A
- C•••••• A•••• M••••••••• ••••••••• P••• L•••investment advisernRAUM $5.9B
- C•••••• A•••• M••••••••• ••• L••••••investment adviserbanknRAUM $5.9B
Advisers that list C•••••• A•••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom5 employees
- S••••••••, Singapore2 employees
What changed
consecutive filings, newest first
- Advisory employees · 8 to 9Sep 5, 2025 to Mar 31, 2026
- Assets in custody · $2.4B to $2.0BSep 5, 2025 to Mar 31, 2026
- Employees · 34 to 35Sep 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.4B to $5.9BSep 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.2B to $3.1BSep 5, 2025 to Mar 31, 2026
- RAUM · $5.4B to $5.9BSep 5, 2025 to Mar 31, 2026
- Advisory employees · 7 to 8Mar 25, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $2.1B to $2.4BMar 25, 2024 to Mar 31, 2025
- Employees · 32 to 34Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- HQ state · unset to Mar 25, 2024 to Mar 31, 2025
- Other offices · 2 to 0Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.1B to $5.4BMar 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.7B to $3.2BMar 25, 2024 to Mar 31, 2025
- RAUM · $4.1B to $5.4BMar 25, 2024 to Mar 31, 2025
- Accounts · 7 to 8May 16, 2023 to Mar 25, 2024
- Advisory employees · 8 to 7May 16, 2023 to Mar 25, 2024
- Assets in custody · $1.8B to $2.1BMay 16, 2023 to Mar 25, 2024
- Employees · 27 to 32May 16, 2023 to Mar 25, 2024
- Discretionary RAUM · $3.3B to $4.1BMay 16, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $2.6B to $2.7BMay 16, 2023 to Mar 25, 2024
- RAUM · $3.3B to $4.1BMay 16, 2023 to Mar 25, 2024
- Related bank · false to trueMay 16, 2023 to Mar 25, 2024
- Other offices · 1 to 2Mar 29, 2023 to May 16, 2023
- Accounts · 4 to 7Mar 30, 2022 to Mar 29, 2023
- Advisory employees · 7 to 8Mar 30, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 5Mar 30, 2022 to Mar 29, 2023
- Assets in custody · $2.1B to $1.8BMar 30, 2022 to Mar 29, 2023
- Employees · 23 to 27Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $3.1B to $3.3BMar 30, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $2.7B to $2.6BMar 30, 2022 to Mar 29, 2023
- RAUM · $3.1B to $3.3BMar 30, 2022 to Mar 29, 2023
- Advisory employees · 8 to 7Sep 6, 2021 to Mar 30, 2022
- Assets in custody · $1.8B to $2.1BSep 6, 2021 to Mar 30, 2022
- Employees · 26 to 23Sep 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $3.3B to $3.1BSep 6, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $2.9B to $2.7BSep 6, 2021 to Mar 30, 2022
- RAUM · $3.3B to $3.1BSep 6, 2021 to Mar 30, 2022
- Private funds · 4 to 3Jul 5, 2021 to Sep 6, 2021
Signals
9 dated events
- C•••••• A•••• M••••••••• L•••••• reported RAUM $5.4B, up 32% from $4.1B (2024-03-25 to 2025-03-31)Mar 31, 2025 · ria raum c•••ge · derived
- Kishore Siddhartha Soni (Portfolio Manager, C•••••• A•••• M••••••••• ••••••••• P••• L•••) no longer on Schedule A of C•••••• A•••• M••••••••• L•••••• (listed 2022-03-30, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Mei Leng Chan (Portfolio Manager, C•••••• A•••• M••••••••• ••••••••• P••• L•••) no longer on Schedule A of C•••••• A•••• M••••••••• L•••••• (listed 2022-03-30, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Seoh Leng Goh (Director / Chief Executive Officer, C•••••• A•••• M••••••••• ••••••••• P••• L•••) no longer on Schedule A of C•••••• A•••• M••••••••• L•••••• (listed 2022-03-30, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Mei Leng Chan (Portfolio Manager, C•••••• A•••• M••••••••• ••••••••• P••• L•••) appeared on Schedule A of C•••••• A•••• M••••••••• L••••••Mar 30, 2022 · Control person joined · fact
- Seoh Leng Goh (Director / Chief Executive Officer, C•••••• A•••• M••••••••• ••••••••• P••• L•••) appeared on Schedule A of C•••••• A•••• M••••••••• L••••••Mar 30, 2022 · Control person joined · fact
- Kishore Siddhartha Soni (Portfolio Manager, C•••••• A•••• M••••••••• ••••••••• P••• L•••) appeared on Schedule A of C•••••• A•••• M••••••••• L••••••Mar 30, 2022 · Control person joined · fact
- C•••••• A•••• M••••••••• L•••••• reported RAUM $3.5B, up 114% from $1.7B (2018-07-24 to 2019-03-21)Mar 21, 2019 · ria raum c•••ge · derived
- C•••••• A•••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Jul 24, 2018 · 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
- C••••••AM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +852 2868 1686reportedpublic 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
- Other 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