DFX Intelligence
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G••••• G••••• L••••••
Asset manager (funds and pooled vehicles), based in Shanghai, reporting $14.3M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $14.3M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +21%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $11.8MRAUM now $14.3M
- Contact points 2
Every filed figure, and the identifiersCRD 286631 · SEC 801-109987 · 15 filingsShowHide
CRD 286631SEC 801-109987First filing on the tape Feb 6, 2017, latest Mar 16, 2026SEC status approved since Mar 20, 2017IAPD
RAUM
$14.3M
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
10
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$14.3M as of Mar 16, 2026
Mar 31, 2018$5.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2026
Mar 31, 20180 then
Employees (5.A)10 as of Mar 16, 2026
Mar 31, 201820 then
Private funds1 as of Mar 16, 2026
Mar 31, 20181 then
RAUM +21% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.1MderivedRAUM 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
- +21%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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$14.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• V•••• M••••• F••• L••• | Hedge Fund | $11.8M | 4 | Jul 5, 2017 |
Owners and control persons
Schedule A and B, latest filing
- W•• Y•••••••• N•• · Director/Chief Compliance Officercontrolsince 01/2022 · owns less than 5%
- Z••••• F•••• •••• · Director / Sole Ownercontrolsince 12/2016 · owns 75% or more
Related persons
Schedule D 7.A
- X•••• Y•••••• H•••••• I••••••••• M••••••••• ••••••• P•••••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Employees · 11 to 10Mar 31, 2025 to Mar 16, 2026
- Discretionary RAUM · $11.8M to $14.3MMar 31, 2025 to Mar 16, 2026
- Pooled vehicle RAUM · $11.8M to $14.3MMar 31, 2025 to Mar 16, 2026
- RAUM · $11.8M to $14.3MMar 31, 2025 to Mar 16, 2026
- Employees · 12 to 11Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 31, 2025
- HQ state · unset to Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $21.1M to $11.8MMar 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $21.1M to $11.8MMar 29, 2024 to Mar 31, 2025
- RAUM · $21.1M to $11.8MMar 29, 2024 to Mar 31, 2025
- Employees · 13 to 12Mar 24, 2023 to Mar 29, 2024
- Discretionary RAUM · $26.2M to $21.1MMar 24, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $26.2M to $21.1MMar 24, 2023 to Mar 29, 2024
- RAUM · $26.2M to $21.1MMar 24, 2023 to Mar 29, 2024
- Advisory employees · 7 to 5Mar 31, 2022 to Mar 24, 2023
- Assets in custody · 34231957.0 to unsetMar 31, 2022 to Mar 24, 2023
- Custody of client assets · true to falseMar 31, 2022 to Mar 24, 2023
- Employees · 11 to 13Mar 31, 2022 to Mar 24, 2023
- Discretionary RAUM · $34.2M to $26.2MMar 31, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $34.2M to $26.2MMar 31, 2022 to Mar 24, 2023
- RAUM · $34.2M to $26.2MMar 31, 2022 to Mar 24, 2023
- Advisory employees · 8 to 7Oct 15, 2021 to Mar 31, 2022
- Assets in custody · $41.3M to $34.2MOct 15, 2021 to Mar 31, 2022
- Employees · 12 to 11Oct 15, 2021 to Mar 31, 2022
- Discretionary RAUM · $41.3M to $34.2MOct 15, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $41.3M to $34.2MOct 15, 2021 to Mar 31, 2022
- RAUM · $41.3M to $34.2MOct 15, 2021 to Mar 31, 2022
- Advisory employees · 13 to 8Mar 30, 2021 to Oct 15, 2021
- Assets in custody · $55.2M to $41.3MMar 30, 2021 to Oct 15, 2021
- Employees · 17 to 12Mar 30, 2021 to Oct 15, 2021
- Discretionary RAUM · $55.2M to $41.3MMar 30, 2021 to Oct 15, 2021
- Pooled vehicle RAUM · $55.2M to $41.3MMar 30, 2021 to Oct 15, 2021
- RAUM · $55.2M to $41.3MMar 30, 2021 to Oct 15, 2021
- Related adviser · false to trueMar 30, 2021 to Oct 15, 2021
- Advisory employees · 12 to 13Mar 26, 2020 to Mar 30, 2021
- Advisory activities · 2 to 1Mar 26, 2020 to Mar 30, 2021
- Assets in custody · $36.9M to $55.2MMar 26, 2020 to Mar 30, 2021
- Employees · 23 to 17Mar 26, 2020 to Mar 30, 2021
- Discretionary RAUM · $36.9M to $55.2MMar 26, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $36.9M to $55.2MMar 26, 2020 to Mar 30, 2021
Signals
7 dated events
- ••• LockedMar 24, 2023 · Control person left · inference
- ••• LockedMar 31, 2022 · Control person left · inference
- ••• LockedMar 31, 2022 · Control person joined · fact
- ••• LockedMar 26, 2020 · Control person left · inference
- ••• LockedMar 26, 2020 · Control person joined · fact
- ••• LockedMar 26, 2020 · Control person joined · fact
- ••• LockedFeb 6, 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 16, 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
- 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