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
I•••••• A•••• M••••••••• ••• L••••••
Latest filing Sep 25, 2025
First filing on the tape Jan 14, 2021 · 9 filings
SEC status approved since Aug 30, 2021
RAUM
$1.1B
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
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.1B as of Sep 25, 2025
Sep 21, 2022$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 25, 2025
Sep 21, 20220 then
Employees (5.A)13 as of Sep 25, 2025
Sep 21, 202210 then
Private funds3 as of Sep 25, 2025
Sep 21, 20223 then
RAUM -2.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 25, 2025; 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
- $228MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 15%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
- -13%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 pooled vehiclesreportedItem 5.G
- Custody
- $589M, 3 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$973M85%
- Sovereign wealth funds$167M15%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $589M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.85 institutional_share=0.15 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• C•••• F•••• M••••• F••• | Hedge Fund | $599M | 86 | Mar 20, 2017 |
| I•••••• C•••• E••••• M••••• F••• | Other Private Fund | $38.4M | 10 | Sep 8, 2020 |
| I•• L••••• R••• I• L•••••• | Private Equity Fund | $15.2M | 3 | Sep 21, 2022 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• Y••••••• · Director/ Chief Operating Officer/ Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- H••••• Y••• · Director / Chief Investment Officercontrolsince 06/2013 · owns less than 5%
- X•• G••• · Directorcontrolsince 07/2018 · owns less than 5%
- H••••• Y••• · Shareholdercontrolsince 07/2020 · owns 75% or more of G••• S•••• G••• L••••••
Entity owners
- G••• S•••• G••• L•••••• · Shareholderdirect · owns 75% or more
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
- Assets in custody · $778M to $589MSep 23, 2024 to Sep 25, 2025
- Employees · 14 to 13Sep 23, 2024 to Sep 25, 2025
- Financial planning clients · unset to Sep 23, 2024 to Sep 25, 2025
- HQ state · unset to Sep 23, 2024 to Sep 25, 2025
- Discretionary RAUM · $1.0B to $1.1BSep 23, 2024 to Sep 25, 2025
- Pooled vehicle RAUM · $792M to $973MSep 23, 2024 to Sep 25, 2025
- RAUM · $1.0B to $1.1BSep 23, 2024 to Sep 25, 2025
- Advisory employees · 3 to 7Sep 22, 2023 to Sep 23, 2024
- Assets in custody · $632M to $778MSep 22, 2023 to Sep 23, 2024
- Employees · 10 to 14Sep 22, 2023 to Sep 23, 2024
- Discretionary RAUM · $1.2B to $1.0BSep 22, 2023 to Sep 23, 2024
- Pooled vehicle RAUM · $915M to $792MSep 22, 2023 to Sep 23, 2024
- RAUM · $1.2B to $1.0BSep 22, 2023 to Sep 23, 2024
- Assets in custody · $737M to $632MSep 21, 2022 to Sep 22, 2023
- Discretionary RAUM · $1.2B to $1.2BSep 21, 2022 to Sep 22, 2023
- Pooled vehicle RAUM · $1.0B to $915MSep 21, 2022 to Sep 22, 2023
- RAUM · $1.2B to $1.2BSep 21, 2022 to Sep 22, 2023
- Accounts · 3 to 5Apr 22, 2022 to Sep 21, 2022
- Pooled vehicle clients · 3 to 4Apr 22, 2022 to Sep 21, 2022
- Assets in custody · $862M to $737MApr 22, 2022 to Sep 21, 2022
- Employees · 9 to 10Apr 22, 2022 to Sep 21, 2022
- Private funds · 2 to 3Apr 22, 2022 to Sep 21, 2022
- Discretionary RAUM · $1.0B to $1.2BApr 22, 2022 to Sep 21, 2022
- Pooled vehicle RAUM · $1.0B to $1.0BApr 22, 2022 to Sep 21, 2022
- RAUM · $1.0B to $1.2BApr 22, 2022 to Sep 21, 2022
- Assets in custody · unset to 862000000.0Jan 14, 2021 to Jul 22, 2021
- Custody of client assets · false to trueJan 14, 2021 to Jul 22, 2021
- Private funds · 4 to 2Jan 14, 2021 to Jul 22, 2021
- Discretionary RAUM · $856M to $1.0BJan 14, 2021 to Jul 22, 2021
- Pooled vehicle RAUM · $856M to $1.0BJan 14, 2021 to Jul 22, 2021
- RAUM · $856M to $1.0BJan 14, 2021 to Jul 22, 2021
Signals
1 dated events
- I•••••• A•••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)Jan 14, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••••• A•••• M••••••••• ••• L•••••• · Private Equityshared crd · organization
- I•••••• A•••• M••••••••• ••• L•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- +852 2620 0482reportedpublic record, Form ADV, Sep 25, 2025
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
- Asset manager (funds and pooled vehicles)deriveda 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