DFX Intelligence

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L•••• G••••• M••••••••• ••• L••••••

Former SEC-registered adviserFormer SEC adviser· Hong Kong

Former SEC-registered adviser, based in Hong Kong, reporting $51.9M of regulatory assets.

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

As of 2023-10-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $51.9M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: -64%
Private clients: 42% of RAUM, $21.6M

Advisors Advisor movement Where the RAUM sits

As of 2023-10-05 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM fell -64% over the last fiscal year, to $51.9M.
2023-10-05
RAUM a year earlier $143MRAUM now $51.9M

Every filed figure, and the identifiersCRD 226718 · SEC 801-100353 · 14 filingsShow

CRD 226718SEC 801-100353First filing on the tape Jun 3, 2015, latest Oct 5, 2023IAPD

RAUM

$51.9M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

42%

$21.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$129M as of Mar 29, 2023

Mar 23, 2016$38.5M then

HNW client RAUM$22.4M as of Mar 29, 2023

Mar 14, 2019$15.4M then

State-registered IARs (5.B.3)0 as of Mar 29, 2023

Mar 23, 20160 then

Employees (5.A)5 as of Mar 29, 2023

Mar 23, 20168 then

Private funds2 as of Mar 29, 2023

Mar 23, 20161 then

RAUM -64% over the last fiscal year-35% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Oct 5, 2023; 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: $10.4MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: -9.9%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: $34.8M, 4 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$30.2M58%
High-net-worth individuals$21.6M42%
Other investment advisers$100,0000.2%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $34.8M for 4 clientsreported
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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
B••••• A••• F•••• L•	Other Private Fund	$13.3M	4	Mar 23, 2016
L•••• G••••• I••••• O•••• M••••• F•••	Other Private Fund	$100,000	11	Mar 30, 2017

Owners and control persons

Schedule A and B, latest filing

L•••• G•••••• R•••••• J••• · Cio; Chairmancontrol
since 11/2014 · owns less than 5%
R••••• T•••••• A•••••••• · Cco; Coocontrol
since 03/2015 · owns less than 5%
L•••• G•••••• R•••••• J••• · Shareholdercontrol
since 12/2015 · owns 75% or more of L•••• G••••• M••••••••• ••••••• L••••••

Entity owners

L•••• G••••• M••••••••• ••••••• L•••••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

L•••• G••••• M••••••••• L••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Private funds · 2 to unset
May 22, 2023 to Oct 5, 2023
Assets in custody · $111M to $34.8M
Mar 29, 2023 to May 22, 2023
Discretionary RAUM · $129M to $51.9M
Mar 29, 2023 to May 22, 2023
HNW RAUM · $22.4M to $21.6M
Mar 29, 2023 to May 22, 2023
Pooled vehicle RAUM · $37.5M to $30.2M
Mar 29, 2023 to May 22, 2023
RAUM · $129M to $51.9M
Mar 29, 2023 to May 22, 2023
Assets in custody · $114M to $111M
Mar 17, 2022 to Mar 29, 2023
Discretionary RAUM · $143M to $129M
Mar 17, 2022 to Mar 29, 2023
HNW RAUM · $28.4M to $22.4M
Mar 17, 2022 to Mar 29, 2023
Pooled vehicle RAUM · $58.8M to $37.5M
Mar 17, 2022 to Mar 29, 2023
RAUM · $143M to $129M
Mar 17, 2022 to Mar 29, 2023
Assets in custody · $86.4M to $114M
Apr 1, 2021 to Mar 17, 2022
Discretionary RAUM · $141M to $143M
Apr 1, 2021 to Mar 17, 2022
HNW RAUM · $27.8M to $28.4M
Apr 1, 2021 to Mar 17, 2022
Pooled vehicle RAUM · $86.4M to $58.8M
Apr 1, 2021 to Mar 17, 2022
RAUM · $141M to $143M
Apr 1, 2021 to Mar 17, 2022
Assets in custody · unset to 86437086.0
Sep 2, 2020 to Mar 24, 2021
Custody of client assets · false to true
Sep 2, 2020 to Mar 24, 2021
Discretionary RAUM · $105M to $141M
Sep 2, 2020 to Mar 24, 2021
HNW RAUM · $15.7M to $27.8M
Sep 2, 2020 to Mar 24, 2021
Pooled vehicle RAUM · $57.5M to $86.4M
Sep 2, 2020 to Mar 24, 2021
RAUM · $105M to $141M
Sep 2, 2020 to Mar 24, 2021
Accounts · 6 to 5
Mar 23, 2020 to Sep 2, 2020
Advisory employees · 4 to 3
Mar 23, 2020 to Sep 2, 2020
Employees · 8 to 5
Mar 23, 2020 to Sep 2, 2020
Discretionary RAUM · $185M to $105M
Mar 23, 2020 to Sep 2, 2020
HNW RAUM · $28.8M to $15.7M
Mar 23, 2020 to Sep 2, 2020
Pooled vehicle RAUM · $101M to $57.5M
Mar 23, 2020 to Sep 2, 2020
RAUM · $185M to $105M
Mar 23, 2020 to Sep 2, 2020
Accounts · 5 to 6
Mar 14, 2019 to Mar 23, 2020
Discretionary RAUM · $170M to $185M
Mar 14, 2019 to Mar 23, 2020
HNW RAUM · $15.4M to $28.8M
Mar 14, 2019 to Mar 23, 2020
Pooled vehicle RAUM · $109M to $101M
Mar 14, 2019 to Mar 23, 2020
RAUM · $170M to $185M
Mar 14, 2019 to Mar 23, 2020
Related adviser · true to false
Mar 14, 2019 to Mar 23, 2020
Advisory activities · 1 to 2
Mar 12, 2018 to Mar 14, 2019
Discretionary RAUM · $194M to $170M
Mar 12, 2018 to Mar 14, 2019
HNW RAUM · unset to 15357073.0
Mar 12, 2018 to Mar 14, 2019
Individual RAUM · 17500000.0 to unset
Mar 12, 2018 to Mar 14, 2019
Pooled vehicle RAUM · $126M to $109M
Mar 12, 2018 to Mar 14, 2019

Signals

1 dated events

••• Locked
Jun 3, 2015 · 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