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Independent wealth managerSEC-registered· Hong Kong S.A.R.

Independent wealth manager, based in Hong Kong S.A.R., reporting $197M of regulatory assets.

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

As of 2026-09-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $197M
Advisors: 0
RAUM change, 1 year: +6.4%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-09-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+6.4%
RAUM, one year
RAUM $185M to $197M (+6.4%) on the Form ADV filed 23 Sep 2026, while advisors on the filing held at 4.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 282064 · SEC 801-107196 · 17 filingsShow

CRD 282064SEC 801-107196First filing on the tape Jan 16, 2016, latest Sep 23, 2026SEC status approved since Jan 27, 2016IAPD

RAUM

$197M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$197M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +3.2% a year over three years · the tape starts Jan 16, 2016

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$185M as of Sep 11, 2025

Mar 28, 2017$150M then

HNW client RAUM$185M as of Sep 11, 2025

Jun 27, 2018$150M then

State-registered IARs (5.B.3)4 as of Sep 11, 2025

Mar 28, 20170 then

Employees (5.A)8 as of Sep 11, 2025

Mar 28, 20174 then

Private funds: no history

RAUM +6.4% over the last fiscal year+3.2% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Sep 23, 2026; every figure names its basis

Archetypes

Broker-dealer affiliated

The rule behind each archetype, and every derived figure1 ruleShow

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)

RAUM per advisor: $49.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.0MderivedHNW RAUM over HNW clients
Average account: $4.0MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -3.3%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planningreportedItem 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

is a broker-dealer (6.A.1)
buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow

High-net-worth individuals$197M100%

Individual clients: n/areported
HNW clients: 49reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 49reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 800% of advisors also broker-dealer representativesderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••• V•• H•••• H•••••• F••••••• · Chairmancontrol
since 04/2002 · owns 75% or more
V••••••••• B••••• D•••••• · Managing Director, Chief Compliance Officercontrol
since 12/2014 · owns less than 5%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Sep 23, 2026
financial planning (Item 5.G.1): no on the filing of 2026-09-21, yes on the filing of 2026-09-23
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 48 to 49
Sep 11, 2025 to Sep 21, 2026
Advisory activities · 2 to 1
Sep 11, 2025 to Sep 21, 2026
HNW clients · 48 to 49
Sep 11, 2025 to Sep 21, 2026
Financial planning clients · 26-50 to 26-50
Sep 11, 2025 to Sep 21, 2026
HQ state · to unset
Sep 11, 2025 to Sep 21, 2026

Full history · 60 changes

Discretionary RAUM · $185M to $197M
Sep 11, 2025 to Sep 21, 2026
HNW RAUM · $185M to $197M
Sep 11, 2025 to Sep 21, 2026
RAUM · $185M to $197M
Sep 11, 2025 to Sep 21, 2026
Related broker-dealer · false to true
Sep 11, 2025 to Sep 21, 2026
Succession · false to unset
Sep 11, 2025 to Sep 21, 2026
Accounts · 45 to 48
Sep 12, 2024 to Sep 11, 2025
HNW clients · 45 to 48
Sep 12, 2024 to Sep 11, 2025
Financial planning clients · 26-50 to 26-50
Sep 12, 2024 to Sep 11, 2025
HQ state · unset to
Sep 12, 2024 to Sep 11, 2025
Discretionary RAUM · $179M to $185M
Sep 12, 2024 to Sep 11, 2025
HNW RAUM · $179M to $185M
Sep 12, 2024 to Sep 11, 2025
Pooled vehicle RAUM · unset to 0.0
Sep 12, 2024 to Sep 11, 2025
RAUM · $179M to $185M
Sep 12, 2024 to Sep 11, 2025
Accounts · 47 to 45
Sep 28, 2023 to Sep 12, 2024
HNW clients · 47 to 45
Sep 28, 2023 to Sep 12, 2024
Discretionary RAUM · $185M to $179M
Sep 28, 2023 to Sep 12, 2024
HNW RAUM · $185M to $179M
Sep 28, 2023 to Sep 12, 2024
RAUM · $185M to $179M
Sep 28, 2023 to Sep 12, 2024
Accounts · 42 to 47
Aug 9, 2022 to Sep 28, 2023
HNW clients · 42 to 47
Aug 9, 2022 to Sep 28, 2023
Discretionary RAUM · $194M to $185M
Aug 9, 2022 to Sep 28, 2023
HNW RAUM · $194M to $185M
Aug 9, 2022 to Sep 28, 2023
RAUM · $194M to $185M
Aug 9, 2022 to Sep 28, 2023
Accounts · 46 to 42
May 20, 2022 to Aug 9, 2022
HNW clients · 46 to 42
May 20, 2022 to Aug 9, 2022
Discretionary RAUM · $179M to $194M
May 20, 2022 to Aug 9, 2022
HNW RAUM · $179M to $194M
May 20, 2022 to Aug 9, 2022
RAUM · $179M to $194M
May 20, 2022 to Aug 9, 2022
Accounts · 50 to 46
Jun 25, 2020 to Jun 23, 2021
Advisory activities · 3 to 2
Jun 25, 2020 to Jun 23, 2021
HNW clients · 50 to 46
Jun 25, 2020 to Jun 23, 2021
Discretionary RAUM · $250M to $179M
Jun 25, 2020 to Jun 23, 2021
HNW RAUM · $250M to $179M
Jun 25, 2020 to Jun 23, 2021
RAUM · $250M to $179M
Jun 25, 2020 to Jun 23, 2021
Related adviser · true to false
Jun 25, 2020 to Jun 23, 2021
Accounts · 25 to 50
Aug 27, 2019 to Jun 25, 2020
HNW clients · 25 to 50
Aug 27, 2019 to Jun 25, 2020
Insurance-licensed employees · 3 to 5
Aug 27, 2019 to Jun 25, 2020
Financial planning clients · 11-25 to 26-50
Aug 27, 2019 to Jun 25, 2020
Other offices · 1 to 0
Aug 27, 2019 to Jun 25, 2020
Discretionary RAUM · $150M to $250M
Aug 27, 2019 to Jun 25, 2020
HNW RAUM · $150M to $250M
Aug 27, 2019 to Jun 25, 2020
RAUM · $150M to $250M
Aug 27, 2019 to Jun 25, 2020
Advisory employees · 4 to 8
Jun 27, 2018 to Aug 27, 2019
BD registered reps · 4 to 8
Jun 27, 2018 to Aug 27, 2019
Employees · 4 to 8
Jun 27, 2018 to Aug 27, 2019
Insurance-licensed employees · 0 to 3
Jun 27, 2018 to Aug 27, 2019
State-registered IARs · 0 to 4
Jun 27, 2018 to Aug 27, 2019
Related adviser · false to true
Jun 27, 2018 to Aug 27, 2019
HNW clients · unset to 25.0
Feb 9, 2018 to Jun 27, 2018
HNW RAUM · unset to 150000000.0
Feb 9, 2018 to Jun 27, 2018
Other offices · unset to 1.0
Mar 28, 2017 to Feb 9, 2018
Accounts · 15 to 25
Jul 29, 2016 to Mar 28, 2017
Discretionary RAUM · $130M to $150M
Jul 29, 2016 to Mar 28, 2017
RAUM · $130M to $150M
Jul 29, 2016 to Mar 28, 2017

Signals

2 dated events

••• Locked
Jun 25, 2020 · RAUM change · derived
••• Locked
Jan 16, 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.

How to reach

public business contact points only, each with its source

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 23, 2026

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: Independent wealth managerderiveda 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

Not yet on record: net advisor flow, 12 months.