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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Former SEC-registered adviser

C••••••••• W••••• M••••••••• •••• L••••••

Former SEC-registered adviserNew York, New YorkCRD 285442SEC 801-110381IAPD
Latest filing Mar 29, 2022
First filing on the tape Dec 20, 2016 · 10 filings
RAUM
$46.7M
reported, Item 5.F
Discretionary
0.0%
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$46.7M as of Mar 29, 2022
Mar 30, 2018$77.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2022
Mar 30, 20180 then
Employees (5.A)3 as of Mar 29, 2022
Mar 30, 20183 then
Private funds: no history
RAUM -22% over the last fiscal year-23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2022; 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
$46.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-22%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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$46.7M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
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
      • L••• D••••• N•• · President, Executive Chairman And Chief Information Officercontrol
        since 08/2016 · owns less than 5%
      • T•••• N•••• N•• · Shareholder And Directorcontrol
        since 08/2016 · owns 75% or more
      • Y•• X•••• · Chief Compliance Officercontrol
        since 03/2019 · owns less than 5%
      • Z••• T••• · Senior Investment A••••••
        since 03/2017 · owns less than 5%
      Related persons
      Schedule D 7.A
      • B•••••• H•••• A•••• M••••••••• C••• L•••
        investment advisern
      • C• G••••• S•••••••• F••• G•• L•••
        pooled vehicle sponsorn
      • C•••• F••• M••••••••• L••
        pooled vehicle sponsorn
      • C••••• Y••• Z••• Y• A•••• M••••••••• ••••••••• L••
        investment advisern
      • C••••••••• F•••••••• S••••••• •••• C••••
        broker-dealern
      • C••••••••• G••••• I••••••••• G• I• L••
        pooled vehicle sponsorn
      • C••••••••• P••• I••••••••• C••••••••• C•• •••••••• L••••••
        investment advisern
      • C••••••••• U••••••• C••••••• L••
        investment advisern
      • C••••••••• W••••• M••••••••• ••• L••
        investment advisern
      • D• K•• Y• C••••• A•••• M••••••••• ••••••••• C•• L••
        investment advisern
      • G••• H••• E••• • E•••• C••••••••• S••••••• ••••••••• L••
        investment advisern
      • G••• H••• I••••••••• S••••••• •••• K•••• L••••••
        investment advisern
      • I••••• I••••••••• I••••••••• M••••••••• L•••
        investment advisern
      • M••••••• • H•••••• I•••••••• A••••• L••••••
        real estaten
      • N•••• A•••• M••••••• N• C••• L•••
        investment advisern
      • O••• I• I••••••••• A••••••
        investment advisern
      • P• Z•••• X•• C•••• A•••• M••••••••• ••••••• L•••••••
        investment adviserpooled vehicle sponsorn
      • S••••••• G••• H••• E••• • E•••• S•••••••• L••
        pooled vehicle sponsorn
      • S••• Z••• G••• H••• I••••••••• C••••••••• S•••••• L••••••
        investment advisern
      • S••••••• P• Z• Z•••• F• A•••• M••••••••• L•••
        investment advisern
      • S••••••• P••••••••• A•••• M••••••••• C••• L••••••
        investment advisern
      • T•••• T••••••••• D••••••••• •••••••• C••• L•••
        investment advisern
      • Y• M•• I••••••••• M••••••••• ••••••••• C••• L•••
        investment advisern
      • Z••••• A•••• M••••••••• ••••••••• C•• L••
        investment advisern
      • Z••••• A•••• M••••••••• C•• ••••••••• L••••••
        investment advisern
      Advisers that list C••••••••• W••••• M••••••••• •••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 4 to 3
        Mar 30, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $59.9M to $46.7M
        Mar 30, 2021 to Mar 29, 2022
      • Pooled vehicle RAUM · $59.9M to $46.7M
        Mar 30, 2021 to Mar 29, 2022
      • RAUM · $59.9M to $46.7M
        Mar 30, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $104M to $59.9M
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $104M to $59.9M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $104M to $59.9M
        Mar 30, 2020 to Mar 30, 2021
      • Employees · 3 to 4
        Mar 27, 2019 to Mar 30, 2020
      • Related broker-dealer · false to true
        Mar 27, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $77.0M to $104M
        Nov 13, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $77.0M to $104M
        Nov 13, 2018 to Mar 27, 2019
      • RAUM · $77.0M to $104M
        Nov 13, 2018 to Mar 27, 2019
      • Pooled vehicle clients · unset to 1.0
        Aug 9, 2017 to Mar 30, 2018
      • Assets in custody · 0.0 to unset
        Aug 9, 2017 to Mar 30, 2018
      • Custody of client assets · true to false
        Aug 9, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Aug 9, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $30.0M to $77.0M
        Aug 9, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 77036071.0
        Aug 9, 2017 to Mar 30, 2018
      • RAUM · $30.0M to $77.0M
        Aug 9, 2017 to Mar 30, 2018
      • Accounts · 0 to 1
        Apr 3, 2017 to Aug 9, 2017
      • Advisory employees · 0 to 1
        Apr 3, 2017 to Aug 9, 2017
      • Advisory activities · 2 to 3
        Apr 3, 2017 to Aug 9, 2017
      • Assets in custody · unset to 0.0
        Apr 3, 2017 to Aug 9, 2017
      • Custody of client assets · false to true
        Apr 3, 2017 to Aug 9, 2017
      • Employees · 2 to 3
        Apr 3, 2017 to Aug 9, 2017
      • Non-discretionary RAUM · $0 to $30.0M
        Apr 3, 2017 to Aug 9, 2017
      • RAUM · $0 to $30.0M
        Apr 3, 2017 to Aug 9, 2017
      • Employees · 0 to 2
        Jan 9, 2017 to Apr 3, 2017
      Signals
      3 dated events
      • Nmn Fan Gao (Chief Compliance Officer) no longer on Schedule A of C••••••••• W••••• M••••••••• •••• L•••••• (listed 2018-11-13, absent 2019-03-27)
        Mar 27, 2019 · Control person left · inference
      • Xinyi Yu (Chief Compliance Officer) appeared on Schedule A of C••••••••• W••••• M••••••••• •••• L••••••
        Mar 27, 2019 · Control person joined · fact
      • C••••••••• W••••• M••••••••• •••• L•••••• filed its initial SEC registration (Form ADV)
        Dec 20, 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