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••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Jul 25, 2016 · 21 filings
SEC status approved since Sep 12, 2016
RAUM
$18.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$18.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$18.9M as of Mar 30, 2026
Jun 5, 2017$0 then
HNW client RAUM$18.9M as of Mar 30, 2026
Apr 2, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Jun 5, 20170 then
Employees (5.A)5 as of Mar 30, 2026
Jun 5, 20175 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $9.5MderivedHNW RAUM over HNW clients
- Average account
- $9.5MderivedRAUM 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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$18.9M100%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• Q••••• N•• · Chief Compliance Officercontrolsince 03/3020 · owns 75% or more
- Z••••• Q••••• N•• · Membercontrolsince 10/2016 · owns 75% or more of Z••••• Q••••• N••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $15.7M to $18.9MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $15.7M to $18.9MMar 31, 2025 to Mar 30, 2026
- RAUM · $15.7M to $18.9MMar 31, 2025 to Mar 30, 2026
- Accounts · 1 to 2Feb 21, 2024 to Mar 31, 2025
- Advisory employees · 3 to 1Feb 21, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Feb 21, 2024 to Mar 31, 2025
- HQ state · unset to Feb 21, 2024 to Mar 31, 2025
- Discretionary RAUM · $6.4M to $15.7MFeb 21, 2024 to Mar 31, 2025
- HNW RAUM · $6.4M to $15.7MFeb 21, 2024 to Mar 31, 2025
- RAUM · $6.4M to $15.7MFeb 21, 2024 to Mar 31, 2025
- Accounts · 2 to 1Mar 21, 2023 to Feb 21, 2024
- Discretionary RAUM · $11.8M to $6.4MMar 21, 2023 to Feb 21, 2024
- HNW RAUM · $12.3M to $6.4MMar 21, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $500,000 to $0Mar 21, 2023 to Feb 21, 2024
- RAUM · $12.3M to $6.4MMar 21, 2023 to Feb 21, 2024
- Advisory activities · 4 to 3Feb 26, 2022 to Mar 21, 2023
- Discretionary RAUM · $9.2M to $11.8MFeb 26, 2022 to Mar 21, 2023
- HNW RAUM · $9.7M to $12.3MFeb 26, 2022 to Mar 21, 2023
- RAUM · $9.7M to $12.3MFeb 26, 2022 to Mar 21, 2023
- Discretionary RAUM · $9.0M to $9.2MFeb 23, 2021 to Feb 26, 2022
- HNW RAUM · $9.5M to $9.7MFeb 23, 2021 to Feb 26, 2022
- RAUM · $9.5M to $9.7MFeb 23, 2021 to Feb 26, 2022
- Accounts · 0 to 2Apr 30, 2020 to Jun 9, 2020
- Advisory activities · 5 to 4Apr 30, 2020 to Jun 9, 2020
- HNW clients · 0 to 2Apr 30, 2020 to Jun 9, 2020
- Financial planning clients · 0 to 1-10Apr 30, 2020 to Jun 9, 2020
- Discretionary RAUM · $0 to $9.0MApr 30, 2020 to Jun 9, 2020
- HNW RAUM · $0 to $9.5MApr 30, 2020 to Jun 9, 2020
- Non-discretionary RAUM · $0 to $500,000Apr 30, 2020 to Jun 9, 2020
- RAUM · $0 to $9.5MApr 30, 2020 to Jun 9, 2020
- HQ city · NEWPORT BEACH to NEW TERRITORIESMar 29, 2019 to Apr 30, 2020
- HQ state · CA to unsetMar 29, 2019 to Apr 30, 2020
- Related adviser · true to falseMar 29, 2019 to Apr 30, 2020
- Charity clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- Corporate clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- HNW clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- Individual clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- Pension plan clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- Pooled vehicle clients · unset to 0.0Jun 5, 2017 to Apr 2, 2018
- Other offices · unset to 0.0Jun 5, 2017 to Apr 2, 2018
Signals
4 dated events
- Nmn Jean Simpson (Chief Compliance Officer) no longer on Schedule A of C••••••• C••••••• L•• (listed 2019-03-29, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- Nmn David Young (Member) no longer on Schedule A of C••••••• C••••••• L•• (listed 2019-03-29, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- C••••••• C••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)May 1, 2017 · Succession (Item 4) · fact
- C••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Jul 25, 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
- +852-60470681reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda 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