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RIA Intelligence

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A•••• P••••••• L••••••

Former SEC-registered adviserFormer SEC adviser1 private funds· Hong Kong

Former SEC-registered adviser, based in Hong Kong, reporting $197M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$197M
Form ADV
RAUM change, 1 year
-23%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Jul 2019, RAUM $256M to $197M (-23.2%) on the Form ADV filed 17 Jul 2019.

Every filed figure, and the identifiersCRD 174299 · SEC 801-108186 · 6 filingsShow
CRD 174299SEC 801-108186First filing on the tape Jul 21, 2016, latest Jul 17, 2019IAPD
RAUM
$197M
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
Not computed
derived; firm RAUM over IAPD count
Employees
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$196M gross assets
History
6 filings and snapshots on the tape

RAUM -23% over the last fiscal year · the tape starts Jul 21, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$197M as of Mar 26, 2019
Apr 4, 2017$222M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Apr 4, 20170 then
Employees (5.A)9 as of Mar 26, 2019
Apr 4, 20179 then
Private funds1 as of Mar 26, 2019
Apr 4, 20171 then
RAUM -23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2019; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$98.4MderivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year
-23%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
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$197M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• J•••• E••••••••• M••••• F•••Hedge Fund$32.4M23Sep 15, 2026
      A•••• M••••• F•••Hedge Fund$14.6M8Apr 1, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • H•••••• F•••• J•••• · Chief Executive Officer / Chief Investment Officer/ Directorcontrol
        since 09/2014 · owns less than 5%
      • Y•• Y••• C••••• J•••• · Chief Operating Officer, Chief Compliance Officer, Directorcontrol
        since 05/2019 · owns less than 5%
      • W•••• Y••••• · Shareholdercontrol
        since 11/2014 · owns 75% or more of A•••• H••••••• L••••••
      Entity owners
      • A•••• H••••••• L•••••• · I••••••••• M•••••• A•• 1••• S••••••••• O• A•••• P••••••• L••••••
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • A•••• H••••••• L••••••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        Mar 26, 2018 to Mar 26, 2019
      • Pooled vehicle clients · 3 to 2
        Mar 26, 2018 to Mar 26, 2019
      • Employees · 8 to 9
        Mar 26, 2018 to Mar 26, 2019
      • Discretionary RAUM · $256M to $197M
        Mar 26, 2018 to Mar 26, 2019
      • Pooled vehicle RAUM · $256M to $197M
        Mar 26, 2018 to Mar 26, 2019
      Full history · 18 changes
      • RAUM · $256M to $197M
        Mar 26, 2018 to Mar 26, 2019
      • Accounts · 1 to 3
        Sep 7, 2017 to Mar 26, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 7, 2017 to Mar 26, 2018
      • Employees · 9 to 8
        Sep 7, 2017 to Mar 26, 2018
      • Other offices · unset to 0.0
        Sep 7, 2017 to Mar 26, 2018
      • Discretionary RAUM · $222M to $256M
        Sep 7, 2017 to Mar 26, 2018
      • Pooled vehicle RAUM · unset to 256318019.0
        Sep 7, 2017 to Mar 26, 2018
      • RAUM · $222M to $256M
        Sep 7, 2017 to Mar 26, 2018
      • Advisory employees · 6 to 5
        Jul 21, 2016 to Apr 4, 2017
      • Employees · 10 to 9
        Jul 21, 2016 to Apr 4, 2017
      • Private funds · 2 to 1
        Jul 21, 2016 to Apr 4, 2017
      • Discretionary RAUM · $160M to $222M
        Jul 21, 2016 to Apr 4, 2017
      • RAUM · $160M to $222M
        Jul 21, 2016 to Apr 4, 2017
      Signals
      7 dated events
      • ••• Locked
        Sep 15, 2026 · private fund first reported · fact
      • ••• Locked
        Sep 15, 2026 · Control person left · inference
      • ••• Locked
        Mar 5, 2020 · ria registration change · fact
      • ••• Locked
        Jul 17, 2019 · Control person joined · fact
      • ••• Locked
        Jul 17, 2019 · Control person left · inference
      Full timeline · 7 events
      • ••• Locked
        Apr 4, 2017 · ria registration change · fact
      • ••• Locked
        Jul 21, 2016 · 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026