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Former SEC-registered adviser

I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••

Former SEC-registered adviserHong Kong, CRD 283218SEC 801-107885IAPD
Latest filing Mar 31, 2021
First filing on the tape May 18, 2016 · 16 filings
RAUM
$1.0B
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
23
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.0B as of Mar 31, 2021
Mar 31, 2017$1.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20170 then
Employees (5.A)23 as of Mar 31, 2021
Mar 31, 201724 then
Private funds: no history
RAUM -52% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2021; 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
$173MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
93%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
-52%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Sovereign wealth funds$811M78%
  • Insurance companies$153M15%
  • Pooled investment vehicles$72.7M7.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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 departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••• J••••• •••• · Directorcontrol
        since 11/2019 · owns less than 5%
      • D•• H••••• · Director, Chairpersoncontrol
        since 11/2015 · owns less than 5%
      • H••••• W•••••• •••• · Finance Directorcontrol
        since 03/2019 · owns less than 5%
      • L•• J••• •••• · Directorcontrol
        since 02/2021 · owns less than 5%
      • M•• L•••• •••• · Deputy Chief Executive Officercontrol
        since 12/2018 · owns less than 5%
      • P•••• S•••••• •••• · Director, Chief Executive Officercontrol
        since 03/2020 · owns less than 5%
      • W•••• Y•••• •••• · Director, Deputy Chief Executive Officercontrol
        since 12/2019 · owns less than 5%
      • Y•••• X••• •••• · Chief Compliance Officercontrol
        since 07/2019 · owns less than 5%
      Entity owners
      • I••• C••••• S••••• A•••• M••••••••• C•••••• L•••••• · Sole Shareholder
        direct · owns 75% or more
      • I••••••••• A•• C••••••••• B••• O• C•••• L•••••• · Shareholder
        indirect · owns 75% or more of I••• C••••• S••••• A•••• M••••••••• C•••••• L••••••
      • M••••••• O• F•••••• O• T•• P••••••• R••••••• O• C•••• · Shareholder
        indirect · owns 25% to 50% of I••••••••• A•• C••••••••• B••• O• C•••• L••••••
      • T•• S•••• C•••••• O• T•• P••••••• R••••••• O• C•••• · Sole Controlling Entity
        indirect · owns 75% or more of M••••••• O• F•••••• O• T•• P••••••• R••••••• O• C••••
      Related persons
      Schedule D 7.A
      • I••• C••••• S••••• A•••• M••••••••• C•••••• L••••••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 6
        Mar 5, 2021 to Mar 31, 2021
      • Advisory activities · 3 to 2
        Mar 5, 2021 to Mar 31, 2021
      • Assets in custody · unset to 0.0
        Mar 5, 2021 to Mar 31, 2021
      • Employees · 27 to 23
        Mar 5, 2021 to Mar 31, 2021
      • Discretionary RAUM · $2.2B to $1.0B
        Mar 5, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · $62.4M to $72.7M
        Mar 5, 2021 to Mar 31, 2021
      • RAUM · $2.2B to $1.0B
        Mar 5, 2021 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Jan 31, 2020 to Mar 30, 2020
      • Employees · 28 to 27
        Jan 31, 2020 to Mar 30, 2020
      • Discretionary RAUM · $2.1B to $2.2B
        Jan 31, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $21.8M to $62.4M
        Jan 31, 2020 to Mar 30, 2020
      • RAUM · $2.1B to $2.2B
        Jan 31, 2020 to Mar 30, 2020
      • Accounts · 9 to 8
        Jan 2, 2019 to Mar 30, 2019
      • Advisory activities · 4 to 3
        Jan 2, 2019 to Mar 30, 2019
      • Pooled vehicle clients · 2 to 3
        Jan 2, 2019 to Mar 30, 2019
      • Discretionary RAUM · $2.1B to $2.1B
        Jan 2, 2019 to Mar 30, 2019
      • Pooled vehicle RAUM · $18.4M to $21.8M
        Jan 2, 2019 to Mar 30, 2019
      • RAUM · $2.1B to $2.1B
        Jan 2, 2019 to Mar 30, 2019
      • Accounts · 7 to 9
        Mar 31, 2017 to Mar 27, 2018
      • Advisory employees · 6 to 7
        Mar 31, 2017 to Mar 27, 2018
      • Advisory activities · 3 to 4
        Mar 31, 2017 to Mar 27, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Corporate clients · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • HNW clients · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Individual clients · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Pension plan clients · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 27, 2018
      • Employees · 24 to 28
        Mar 31, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 27, 2018
      • Discretionary RAUM · $1.8B to $2.1B
        Mar 31, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · unset to 18400000.0
        Mar 31, 2017 to Mar 27, 2018
      • RAUM · $1.8B to $2.1B
        Mar 31, 2017 to Mar 27, 2018
      • Related broker-dealer · true to false
        Mar 31, 2017 to Mar 27, 2018
      • Accounts · 6 to 7
        May 18, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 6
        May 18, 2016 to Mar 31, 2017
      • Employees · 17 to 24
        May 18, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.8B to $1.8B
        May 18, 2016 to Mar 31, 2017
      • RAUM · $1.8B to $1.8B
        May 18, 2016 to Mar 31, 2017
      Signals
      20 dated events
      • I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• reported RAUM $1.0B, down 52% from $2.2B (2021-03-05 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • (Nmn) Wenhua Huang (Finance Director) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Mar 31, 2021 · Control person joined · fact
      • (Nmn) Jun Li (Director) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Mar 5, 2021 · Control person joined · fact
      • Wei Hao (Director) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2020-05-08, absent 2021-03-05)
        Mar 5, 2021 · Control person left · inference
      • (Nmn) H•••• W••• (Director, Chairwoman) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2020-05-08, absent 2021-03-05)
        Mar 5, 2021 · Control person left · inference
      • Kang Hao (Deputy Chief Executive Officer) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2020-03-30, absent 2020-05-08)
        May 8, 2020 · Control person left · inference
      • (Nmn) W••• Qingren (Chief Executive Officer, Director) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2020-01-31, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Shulin Peng (Director Cum Chief Executive Officer) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Mar 30, 2020 · Control person joined · fact
      • Kang Hao (Deputy Chief Executive Officer) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Mar 30, 2020 · Control person joined · fact
      • L••• Lu (Director) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2020-01-14, absent 2020-01-31)
        Jan 31, 2020 · Control person left · inference
      • (Nmn) Yang W••• (Deputy Chief Executive Officer) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Jan 14, 2020 · Control person joined · fact
      • (Nmn) Jiaqi Cao (Director) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Nov 18, 2019 · Control person joined · fact
      • T•••• Guo (Chair Of The Board, Director) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2019-08-20, absent 2019-10-28)
        Oct 28, 2019 · Control person left · inference
      • (Nmn) H•••• W••• (Director, Chairwoman) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Oct 28, 2019 · Control person joined · fact
      • (Nmn) Xue Yang (Chief Compliance Officer) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Jul 26, 2019 · Control person joined · fact
      • Hua Richard Tang (Deputy Chair Of The Board, Director) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2019-03-30, absent 2019-06-11)
        Jun 11, 2019 · Control person left · inference
      • (Nmn) Luan Ma (Chief Compliance Officer, Deputy Chief Executive Officer) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Jan 2, 2019 · Control person joined · fact
      • (Nmn) S•••• Sze M••• C••• (Chief Compliance Officer) no longer on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• (listed 2018-03-27, absent 2019-01-02)
        Jan 2, 2019 · Control person left · inference
      • (Nmn) W••• Qingren (Chief Executive Officer, Director) appeared on Schedule A of I••• C••••• S••••• A•••• M••••••••• •••••• C•• L••
        Jan 2, 2019 · Control person joined · fact
      • I••• C••••• S••••• A•••• M••••••••• •••••• C•• L•• filed its initial SEC registration (Form ADV)
        May 18, 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
      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