DFX Intelligence
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S•••• A•••• M••••••••• L••••••
Asset manager (funds and pooled vehicles), based in Hong Kong, reporting $1.4B 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
- $1.4B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -10%
- 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
- Contact points 2
Every filed figure, and the identifiersCRD 288614 · SEC 801-119246 · 9 filingsShowHide
CRD 288614SEC 801-119246First filing on the tape Jul 8, 2020, latest Mar 24, 2026SEC status approved since Dec 9, 2020IAPD
RAUM
$1.4B
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
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$1.4B as of Mar 24, 2026
Mar 29, 2021$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 29, 20210 then
Employees (5.A)10 as of Mar 24, 2026
Mar 29, 202111 then
Private funds2 as of Mar 24, 2026
Mar 29, 20212 then
RAUM -10% over the last fiscal year+7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $170MderivedRAUM 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
- -10%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 vehicles, portfolio management for investment companiesreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.2B87%
- Investment companies$170M13%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••• J•••• F••• | Hedge Fund | $645M | 86 | Feb 26, 2020 |
| S•••• M••••• F••• | Hedge Fund | $289M | 62 | Jun 26, 2017 |
| S•••• J•••• L••• O••••••••• F••• | Hedge Fund | $70.5M | 10 | Mar 24, 2022 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• K•••• · Director / Chief Investment Officercontrolsince 11/2016 · owns less than 5%
- L••• I•••• · Director / Chief Operating Officer And Chief Compliance Officercontrolsince 11/2016 · owns less than 5%
- A••••••• K•••• · Shareholdercontrolsince 01/2017 · owns 75% or more of S•••• A•••• M••••••••• ••••••• L••••••
Entity owners
- S•••• A•••• M••••••••• ••••••• 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
- Advisory employees · 6 to 5Dec 2, 2025 to Mar 24, 2026
- Employees · 11 to 10Dec 2, 2025 to Mar 24, 2026
- Discretionary RAUM · $1.5B to $1.4BDec 2, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $1.1B to $1.2BDec 2, 2025 to Mar 24, 2026
- RAUM · $1.5B to $1.4BDec 2, 2025 to Mar 24, 2026
- Financial planning clients · unset to Mar 27, 2024 to Mar 27, 2025
- HQ state · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.2B to $1.5BMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $937M to $1.1BMar 27, 2024 to Mar 27, 2025
- RAUM · $1.2B to $1.5BMar 27, 2024 to Mar 27, 2025
- Accounts · 12 to 8Mar 28, 2023 to Mar 27, 2024
- Pooled vehicle clients · 11 to 7Mar 28, 2023 to Mar 27, 2024
- Private funds · 3 to 2Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.1B to $1.2BMar 28, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $915M to $937MMar 28, 2023 to Mar 27, 2024
- RAUM · $1.1B to $1.2BMar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.3B to $1.1BMar 24, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $1.0B to $915MMar 24, 2022 to Mar 28, 2023
- RAUM · $1.3B to $1.1BMar 24, 2022 to Mar 28, 2023
- Accounts · 11 to 12Mar 24, 2022 to Mar 28, 2023
- Advisory employees · 7 to 6Mar 24, 2022 to Mar 28, 2023
- Pooled vehicle clients · 10 to 11Mar 24, 2022 to Mar 28, 2023
- Accounts · 8 to 11Mar 29, 2021 to Mar 24, 2022
- Pooled vehicle clients · 7 to 10Mar 29, 2021 to Mar 24, 2022
- Private funds · 2 to 3Mar 29, 2021 to Mar 24, 2022
- Discretionary RAUM · $1.1B to $1.3BMar 29, 2021 to Mar 24, 2022
- Pooled vehicle RAUM · $913M to $1.0BMar 29, 2021 to Mar 24, 2022
- RAUM · $1.1B to $1.3BMar 29, 2021 to Mar 24, 2022
- Accounts · 6 to 8Sep 1, 2020 to Mar 29, 2021
- Advisory employees · 6 to 7Sep 1, 2020 to Mar 29, 2021
- Advisory activities · 1 to 2Sep 1, 2020 to Mar 29, 2021
- Pooled vehicle clients · 6 to 7Sep 1, 2020 to Mar 29, 2021
- Employees · 10 to 11Sep 1, 2020 to Mar 29, 2021
- Discretionary RAUM · $685M to $1.1BSep 1, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $685M to $913MSep 1, 2020 to Mar 29, 2021
- RAUM · $685M to $1.1BSep 1, 2020 to Mar 29, 2021
- Assets in custody · 503357000.0 to unsetJul 8, 2020 to Sep 1, 2020
- Custody of client assets · true to falseJul 8, 2020 to Sep 1, 2020
- Private funds · 4 to 2Jul 8, 2020 to Sep 1, 2020
Signals
2 dated events
- ••• LockedMar 29, 2021 · RAUM change · derived
- ••• LockedJul 8, 2020 · 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 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 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