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RIA Intelligence

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O•••••••• M••••••••• L•••

Former SEC-registered adviserFormer SEC adviser1 private funds· Causeway Baywebsite

Former SEC-registered adviser, based in Causeway Bay, reporting $1.2B of regulatory assets.

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

Last reported RAUM
$1.2B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+389%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 289120 · SEC 801-117621 · 13 filingsShow
CRD 289120SEC 801-117621First filing on the tape Oct 11, 2019, latest Dec 22, 2021IAPD
RAUM
$1.2B
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
11
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$733M gross assets
History
13 filings and snapshots on the tape
RAUM$1.2B as of May 13, 2021
Mar 13, 2020$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 13, 2021
Mar 13, 20200 then
Employees (5.A)11 as of May 13, 2021
Mar 13, 20206 then
Private funds1 as of May 13, 2021
Mar 13, 20201 then
RAUM +389% over the last fiscal yearIARs 0 to 0offices 0 to 2
Practice profile
derived from the filing of Dec 22, 2021; 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
$614MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+389%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
$733M, 1 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.2B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$733M for 1 clientsreported
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
      O•••••••• P••••••• F•••• L•Hedge Fund$1.6B111Jul 19, 2017
      I••••••• P•••••••• L•Hedge Fund$628M6Mar 27, 2026
      C•••••• P•••••••• L•••no longer reportedHedge Fund$517M6Jan 5, 2022
      Owners and control persons
      Schedule A and B, latest filing
      • L•• R••••••• C••• W••• · Director And Managing Partnercontrol
        since 03/2017 · owns less than 5%
      • S•••• D• F•• · Director And Managing Partnercontrol
        since 03/2017 · owns 50% to 75%
      • Z••••• L•• · Chief Financial Officercontrol
        since 03/2020 · owns less than 5%
      • L•• R••••••• C••• W••• · Ownercontrol
        since 01/2021 · owns 75% or more of R••• I•••
      • D••••••• S••••• R••• · Chief Compliance Officer
        since 03/2021 · owns less than 5%
      Entity owners
      • R••• I••• · Owner
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Toronto, Ontario, Canada5 employees
      • Huangpu Qu, Shanghai, China2 employees
      What changed
      consecutive filings, newest first
      • HQ city · HUANGPU QU, SHANGHAI to CAUSEWAY BAY
        Aug 9, 2021 to Dec 22, 2021
      • Other offices · 1 to 2
        Aug 9, 2021 to Dec 22, 2021
      • Organization form · Corporation to Limited Liability Company
        Aug 9, 2021 to Dec 22, 2021
      • Succession · false to true
        Aug 9, 2021 to Dec 22, 2021
      • Advisory employees · 4 to 8
        Mar 15, 2021 to May 13, 2021
      • Advisory activities · 2 to 1
        Mar 15, 2021 to May 13, 2021
      • Corporate clients · 1.0 to unset
        Mar 15, 2021 to May 13, 2021
      • Pooled vehicle clients · 1 to 2
        Mar 15, 2021 to May 13, 2021
      • Assets in custody · $129M to $733M
        Mar 15, 2021 to May 13, 2021
      • Employees · 6 to 11
        Mar 15, 2021 to May 13, 2021
      • Discretionary RAUM · $251M to $1.2B
        Mar 15, 2021 to May 13, 2021
      • Pooled vehicle RAUM · $129M to $1.2B
        Mar 15, 2021 to May 13, 2021
      • RAUM · $251M to $1.2B
        Mar 15, 2021 to May 13, 2021
      • HQ city · TORONTO, ONTARIO to HUANGPU QU, SHANGHAI
        Feb 11, 2021 to Mar 15, 2021
      • Other offices · 0 to 1
        Feb 11, 2021 to Mar 15, 2021
      • Accounts · 1 to 2
        Mar 13, 2020 to May 26, 2020
      • Advisory employees · 5 to 4
        Mar 13, 2020 to May 26, 2020
      • Corporate clients · unset to 1.0
        Mar 13, 2020 to May 26, 2020
      • Assets in custody · $115M to $129M
        Mar 13, 2020 to May 26, 2020
      • Discretionary RAUM · $115M to $251M
        Mar 13, 2020 to May 26, 2020
      • Pooled vehicle RAUM · $115M to $129M
        Mar 13, 2020 to May 26, 2020
      • RAUM · $115M to $251M
        Mar 13, 2020 to May 26, 2020
      • Advisory employees · 4 to 5
        Jan 10, 2020 to Mar 13, 2020
      • Advisory activities · 1 to 2
        Jan 10, 2020 to Mar 13, 2020
      • Assets in custody · $71.3M to $115M
        Jan 10, 2020 to Mar 13, 2020
      • Employees · 4 to 6
        Jan 10, 2020 to Mar 13, 2020
      • Financial planning clients · unset to 0
        Jan 10, 2020 to Mar 13, 2020
      • Discretionary RAUM · $71.3M to $115M
        Jan 10, 2020 to Mar 13, 2020
      • Pooled vehicle RAUM · $71.3M to $115M
        Jan 10, 2020 to Mar 13, 2020
      • RAUM · $71.3M to $115M
        Jan 10, 2020 to Mar 13, 2020
      • Private funds · 2 to 1
        Oct 11, 2019 to Oct 16, 2019
      Signals
      14 dated events
      • ••• Locked
        Mar 27, 2026 · private fund first reported · fact
      • ••• Locked
        Mar 27, 2026 · private fund no longer reported · inference
      • ••• Locked
        Jan 5, 2022 · ria registration change · fact
      • ••• Locked
        Dec 22, 2021 · Succession (Item 4) · fact
      • ••• Locked
        May 13, 2021 · RAUM change · derived
      • ••• Locked
        Mar 15, 2021 · Control person left · inference
      • ••• Locked
        Jul 23, 2020 · Control person left · inference
      • ••• Locked
        Jul 23, 2020 · Control person joined · fact
      • ••• Locked
        May 26, 2020 · RAUM change · derived
      • ••• Locked
        Mar 13, 2020 · Control person left · inference
      • ••• Locked
        Mar 13, 2020 · Control person joined · fact
      • ••• Locked
        Jan 10, 2020 · Control person joined · fact
      • ••• Locked
        Oct 16, 2019 · ria registration change · fact
      • ••• Locked
        Oct 11, 2019 · 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 27, 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
      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