DFX Intelligence

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F•••• A•••• M••••••••• L••••••

Institutional managerSEC-registered· Hong Kongwebsite

Institutional manager, based in Hong Kong, reporting $1.5B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.5B
Advisors: 0
RAUM change, 1 year: +39%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-19 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 19 Mar 2026, 1 control person joined and 2 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 288360 · SEC 801-112564 · 14 filingsShow

CRD 288360SEC 801-112564First filing on the tape Feb 2, 2018, latest Mar 19, 2026SEC status approved since Mar 2, 2018IAPD

RAUM

$1.5B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

12 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM +39% a year over three years · the tape starts Feb 2, 2018

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.5B as of Mar 19, 2026

Mar 29, 2019$851M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 19, 2026

Mar 29, 20190 then

Employees (5.A)19 as of Mar 19, 2026

Mar 29, 20199 then

Private funds: no history

RAUM +39% over the last fiscal year+39% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 19, 2026; every figure names its basis

Archetypes

Institutional asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent

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: $57.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 90%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +39%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 assetsreportedItem 5.E
Advisory activities: portfolio management for businesses and institutionsreportedItem 5.G
Custody: $151M, 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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

90% insurance companies, 10% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow

Insurance companies$1.3B90%
Pooled investment vehicles$151M10%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 26reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $151M for 3 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 0% private clients, 10% pooled funds, 90% institutions; a related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• C••• P••• · Compliance / Senior Director / Chief Compliance Officercontrol
since 12/2022 · owns less than 5%
K••••••• S•••••• · Directorcontrol
since 07/2017 · owns less than 5%
L•• T•• · Directorcontrol
since 05/2022 · owns less than 5%
L••• H•• M••• · Executive Director, Legalcontrol
since 06/2022 · owns less than 5%
S•••• Z••• · Chief Operating Officer / Directorcontrol
since 11/2020 · owns less than 5%

All 7 control persons

W•••• J•• F•• · Directorcontrol
since 05/2022 · owns less than 5%
G••• G••••••••• · Shareholdercontrol
since 09/2004 · owns 75% or more of F•••• I••••••••• H••••••• L•••

Entity owners

F•••• A•••• H••••••• L•••••• · Shareholder
direct · owns 75% or more
F•••• H••••••• L•••••• · Shareholder
indirect · owns 50% to 75% of F•••• I••••••••• L••••••
F•••• I••••••••• H••••••• L••• · Shareholder
indirect · owns 75% or more of F•••• H••••••• L••••••
F•••• I••••••••• L•••••• · Shareholder
indirect · owns 75% or more of F•••• A•••• H••••••• L••••••

Related persons

Schedule D 7.A

F•••• I••••••••• S••••••••• L••••••
broker-dealerinvestment advisertrust companyn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 22 to 26
Mar 25, 2025 to Mar 19, 2026
Advisory employees · 11 to 12
Mar 25, 2025 to Mar 19, 2026
Assets in custody · $140M to $151M
Mar 25, 2025 to Mar 19, 2026
Employees · 21 to 19
Mar 25, 2025 to Mar 19, 2026
Discretionary RAUM · $1.1B to $1.5B
Mar 25, 2025 to Mar 19, 2026

Full history · 58 changes

Pooled vehicle RAUM · $140M to $151M
Mar 25, 2025 to Mar 19, 2026
RAUM · $1.1B to $1.5B
Mar 25, 2025 to Mar 19, 2026
Accounts · 19 to 22
Mar 15, 2024 to Mar 25, 2025
Advisory employees · 13 to 11
Mar 15, 2024 to Mar 25, 2025
Pooled vehicle clients · 2 to 3
Mar 15, 2024 to Mar 25, 2025
Assets in custody · $784M to $140M
Mar 15, 2024 to Mar 25, 2025
Employees · 22 to 21
Mar 15, 2024 to Mar 25, 2025
Financial planning clients · 0 to 0
Mar 15, 2024 to Mar 25, 2025
HQ state · unset to
Mar 15, 2024 to Mar 25, 2025
Discretionary RAUM · $784M to $1.1B
Mar 15, 2024 to Mar 25, 2025
Pooled vehicle RAUM · $51.6M to $140M
Mar 15, 2024 to Mar 25, 2025
RAUM · $784M to $1.1B
Mar 15, 2024 to Mar 25, 2025
Accounts · 12 to 19
Mar 9, 2023 to Mar 15, 2024
Pooled vehicle clients · 1 to 2
Mar 9, 2023 to Mar 15, 2024
Assets in custody · $562M to $784M
Mar 9, 2023 to Mar 15, 2024
Employees · 23 to 22
Mar 9, 2023 to Mar 15, 2024
Discretionary RAUM · $562M to $784M
Mar 9, 2023 to Mar 15, 2024
Pooled vehicle RAUM · $48.0M to $51.6M
Mar 9, 2023 to Mar 15, 2024
RAUM · $562M to $784M
Mar 9, 2023 to Mar 15, 2024
Accounts · 7 to 12
Nov 24, 2022 to Mar 9, 2023
Advisory employees · 11 to 13
Nov 24, 2022 to Mar 9, 2023
Pooled vehicle clients · unset to 1.0
Nov 24, 2022 to Mar 9, 2023
Assets in custody · $445M to $562M
Nov 24, 2022 to Mar 9, 2023
Employees · 19 to 23
Nov 24, 2022 to Mar 9, 2023
Discretionary RAUM · $445M to $562M
Nov 24, 2022 to Mar 9, 2023
Pooled vehicle RAUM · unset to 48000000.0
Nov 24, 2022 to Mar 9, 2023
RAUM · $445M to $562M
Nov 24, 2022 to Mar 9, 2023
Accounts · 6 to 7
Jun 29, 2021 to Mar 10, 2022
Advisory employees · 5 to 11
Jun 29, 2021 to Mar 10, 2022
Assets in custody · $429M to $445M
Jun 29, 2021 to Mar 10, 2022
Employees · 8 to 19
Jun 29, 2021 to Mar 10, 2022
Discretionary RAUM · $429M to $445M
Jun 29, 2021 to Mar 10, 2022
RAUM · $429M to $445M
Jun 29, 2021 to Mar 10, 2022
Accounts · 14 to 6
Mar 26, 2020 to Mar 22, 2021
Advisory employees · 6 to 5
Mar 26, 2020 to Mar 22, 2021
Assets in custody · unset to 429000000.0
Mar 26, 2020 to Mar 22, 2021
Custody of client assets · false to true
Mar 26, 2020 to Mar 22, 2021
Employees · 9 to 8
Mar 26, 2020 to Mar 22, 2021
Discretionary RAUM · $448M to $429M
Mar 26, 2020 to Mar 22, 2021
Non-discretionary RAUM · $193M to $0
Mar 26, 2020 to Mar 22, 2021
RAUM · $641M to $429M
Mar 26, 2020 to Mar 22, 2021
Related adviser · false to true
Mar 26, 2020 to Mar 22, 2021
Related broker-dealer · false to true
Mar 26, 2020 to Mar 22, 2021
Accounts · 11 to 14
Oct 24, 2019 to Mar 26, 2020
Discretionary RAUM · $476M to $448M
Oct 24, 2019 to Mar 26, 2020
Non-discretionary RAUM · $375M to $193M
Oct 24, 2019 to Mar 26, 2020
RAUM · $851M to $641M
Oct 24, 2019 to Mar 26, 2020
Accounts · 3 to 11
Feb 2, 2018 to Mar 29, 2019
Advisory employees · 7 to 6
Feb 2, 2018 to Mar 29, 2019
Employees · 11 to 9
Feb 2, 2018 to Mar 29, 2019
Discretionary RAUM · $370M to $476M
Feb 2, 2018 to Mar 29, 2019
Non-discretionary RAUM · $0 to $375M
Feb 2, 2018 to Mar 29, 2019
RAUM · $370M to $851M
Feb 2, 2018 to Mar 29, 2019

Signals

33 dated events

••• Locked
Mar 19, 2026 · Control person joined · fact
••• Locked
Mar 19, 2026 · Control person left · inference
••• Locked
Mar 19, 2026 · Control person left · inference
••• Locked
Mar 19, 2026 · ria principal change · fact
••• Locked
Mar 19, 2026 · RAUM change · derived

Full timeline · 33 events

••• Locked
Mar 25, 2025 · RAUM change · derived
••• Locked
Mar 15, 2024 · Control person left · inference
••• Locked
Mar 15, 2024 · RAUM change · derived
••• Locked
Mar 15, 2024 · Control person left · inference
••• Locked
Mar 9, 2023 · Control person joined · fact
••• Locked
Mar 9, 2023 · RAUM change · derived
••• Locked
Oct 3, 2022 · Control person joined · fact
••• Locked
Oct 3, 2022 · Control person joined · fact
••• Locked
Oct 3, 2022 · Control person joined · fact
••• Locked
Oct 3, 2022 · Control person left · inference
••• Locked
Oct 3, 2022 · Control person left · inference
••• Locked
Mar 10, 2022 · Control person joined · fact
••• Locked
Mar 10, 2022 · Control person joined · fact
••• Locked
Jun 29, 2021 · Control person joined · fact
••• Locked
Jun 29, 2021 · Control person left · inference
••• Locked
Mar 22, 2021 · RAUM change · derived
••• Locked
Mar 22, 2021 · Control person joined · fact
••• Locked
Mar 22, 2021 · Control person left · inference
••• Locked
Mar 22, 2021 · Control person joined · fact
••• Locked
Mar 26, 2020 · Control person left · inference
••• Locked
Mar 26, 2020 · Control person joined · fact
••• Locked
Mar 26, 2020 · Control person left · inference
••• Locked
Mar 26, 2020 · Control person left · inference
••• Locked
Mar 26, 2020 · Control person left · inference
••• Locked
Mar 29, 2019 · Control person joined · fact
••• Locked
Mar 29, 2019 · Control person joined · fact
••• Locked
Mar 29, 2019 · RAUM change · derived
••• Locked
Feb 2, 2018 · 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 19, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 19, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Institutional managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.