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

S••••••••• A•••• M••••••••• ••• L••••••

Former SEC-registered adviserHong Kong, CRD 286183SEC 801-112364IAPD
Latest filing Jan 29, 2019
First filing on the tape Dec 25, 2017 · 7 filings
RAUM
$210M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$34.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$42.0M gross assets
History
7 filings and snapshots on the tape
RAUM$210M as of Jan 29, 2019
Nov 29, 2018$210M then
HNW client RAUM$12.5M as of Jan 29, 2019
Nov 29, 2018$12.5M then
State-registered IARs (5.B.3)0 as of Jan 29, 2019
Nov 29, 20180 then
Employees (5.A)18 as of Jan 29, 2019
Nov 29, 201818 then
Private funds3 as of Jan 29, 2019
Nov 29, 20183 then
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2019; 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
$6.2MderivedHNW RAUM over HNW clients
Average account
$6.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%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, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
  • 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
  • Investment companies$100M48%
  • Pension and profit-sharing plans$55.0M26%
  • Individuals$22.1M11%
  • Pooled investment vehicles$15.0M7.2%
  • High-net-worth individuals$12.5M6.0%
  • State and municipal entities$5.0M2.4%
Individual clients
22reported
HNW clients
2reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
32reported
Financial planning clients
11-25reported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••• I••••••••• F•••Hedge Fund$59.8M40Nov 29, 2018
      A••• T••••no longer reportedHedge Fund$8.6M15Dec 12, 2016
      C•••••• S•• • K••••• F••• S•Hedge Fund$5.0M2Dec 25, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • H•• S•• · Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • K••••• S•••• · Directorcontrol
        since 09/2009 · owns less than 5%
      • L••••••• R••••••• · Managing Directorcontrol
        since 08/2015 · owns less than 5%
      • M••••••• O••••••• P••••• · Directorcontrol
        since 12/2009 · owns less than 5%
      • S•••• J•••• · Directorcontrol
        since 06/2014 · owns less than 5%
      • M••••••• O••••••• P••••• · Beneficial Ownercontrol
        since 10/2004 · owns 50% to 75% of P••• O• P•• L••
      Entity owners
      • S••••••••• H••••••• P••• L••• · Shareholder
        direct · owns 75% or more
      • P••• O• P•• L•• · Shareholder
        indirect · owns 50% to 75% of S••••••••• H••••••• P••• L•••
      Related persons
      Schedule D 7.A
      • S••••••••• F•••••••• S••••••• P•• L••
        bankpooled vehicle sponsory
      • S••••••••• H••••••• P••• L•••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 15 to 32
        Feb 8, 2018 to Nov 29, 2018
      • Advisory employees · 12 to 14
        Feb 8, 2018 to Nov 29, 2018
      • HNW clients · 8 to 2
        Feb 8, 2018 to Nov 29, 2018
      • Individual clients · unset to 22.0
        Feb 8, 2018 to Nov 29, 2018
      • Pension plan clients · unset to 1.0
        Feb 8, 2018 to Nov 29, 2018
      • Pooled vehicle clients · 1 to 5
        Feb 8, 2018 to Nov 29, 2018
      • Employees · 16 to 18
        Feb 8, 2018 to Nov 29, 2018
      • Private funds · 1 to 3
        Feb 8, 2018 to Nov 29, 2018
      • Discretionary RAUM · $78.3M to $210M
        Feb 8, 2018 to Nov 29, 2018
      • HNW RAUM · $10.7M to $12.5M
        Feb 8, 2018 to Nov 29, 2018
      • Individual RAUM · $205,263 to $22.1M
        Feb 8, 2018 to Nov 29, 2018
      • Pension RAUM · unset to 54955733.0
        Feb 8, 2018 to Nov 29, 2018
      • Pooled vehicle RAUM · $5.1M to $15.0M
        Feb 8, 2018 to Nov 29, 2018
      • RAUM · $78.3M to $210M
        Feb 8, 2018 to Nov 29, 2018
      • Related bank · false to true
        Feb 8, 2018 to Nov 29, 2018
      • Private funds · 2 to 1
        Dec 25, 2017 to Jan 11, 2018
      Signals
      2 dated events
      • S••••••••• A•••• M••••••••• ••• L•••••• reported RAUM $209.5M, up 168% from $78.3M (2018-02-08 to 2018-11-29)
        Nov 29, 2018 · RAUM change · derived
      • S••••••••• A•••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)
        Dec 25, 2017 · 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