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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SEC-registered adviser
A•••••• G••••• I•••••••• A••• P•••••• L••••••
Latest filing May 27, 2026
First filing on the tape Aug 16, 2017 · 26 filings
SEC status approved since Sep 15, 2017
RAUM
$15B
reported, Item 5.F
Discretionary
98%
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
118
59 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$15B as of May 27, 2026
Mar 29, 2018$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 27, 2026
Mar 29, 20180 then
Employees (5.A)118 as of May 27, 2026
Mar 29, 2018110 then
Private funds: no history
RAUM +17% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 27, 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
- $203MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 8.1%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
- +17%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 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
- Pooled investment vehicles$14B89%
- Pension and profit-sharing plans$795M5.1%
- Other investment advisers$376M2.4%
- State and municipal entities$287M1.9%
- Insurance companies$177M1.1%
- Corporations and businesses$20.1M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 76reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.08 related_bd=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• R••••••• C•• K•••• · Chief Investment Officer Equity A••• P•••••• & Directorcontrolsince 09/2006 · owns less than 5%
- L•••• W•• W•• · Chief Financial Officer, A••• P•••••• & Directorcontrolsince 05/2024 · owns less than 5%
- N•• D••••••• K• Y•• · Head Of A••• P•••••• & Directorcontrolsince 06/2015 · owns less than 5%
- S•••••• K••••• · Chief Operating Officer, A••• P•••••• & Directorcontrolsince 08/2022 · owns less than 5%
- Y•• T•• L•••• •••• · Head Of Sales, Greater China & South East A••• Retail & Directorcontrolsince 01/2016 · owns less than 5%
- T•••• M•••••• H•• T••• · Chief Compliance Officersince 10/2023 · owns less than 5%
Entity owners
- A•••••• G••••• I•••••••• G••• · Shareholderdirect · owns 75% or more
- A•••••• A•••• M••••••••• G••• · Stockholderindirect · owns 75% or more of A•••••• G••••• I•••••••• G•••
- A•••••• S• · Stockholderindirect · owns 75% or more of A•••••• A•••• M••••••••• G•••
Related persons
Schedule D 7.A
- A•••••• C•••••• P••••••• G•••investment advisern
- A•••••• C•••••• P••••••• O• A•••••• L••investment advisernRAUM $6.4B
- A•••••• G••••• I•••••••• •••••••• A•investment advisern
- A•••••• G••••• I•••••••• F••• M••••••••• C••• L•••investment advisern
- A•••••• G••••• I•••••••• G•••investment adviserpooled vehicle sponsorLP sponsory
- A•••••• G••••• I•••••••• J•••• C••• L•••investment advisern
- A•••••• G••••• I•••••••• O••••••• A•••• M••••••••• L••••••investment advisery
- A•••••• G••••• I•••••••• S•••••••• L•••investment adviserpooled vehicle sponsorn
- A•••••• G••••• I•••••••• T••••• L•••investment adviserpooled vehicle sponsorn
- A•••••••• U• L••investment advisern
- P•••• E••••• L•••investment advisern
- P• A•••••• G••••• I•••••••• A•••• M••••••••• I••••••••investment advisery
Advisers that list A•••••• G••••• I•••••••• A••• P•••••• L•••••• as a related person
- 149003 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 78 to 76Jun 17, 2025 to Mar 31, 2026
- Advisory employees · 64 to 59Jun 17, 2025 to Mar 31, 2026
- Pooled vehicle clients · 55 to 54Jun 17, 2025 to Mar 31, 2026
- Employees · 122 to 118Jun 17, 2025 to Mar 31, 2026
- Discretionary RAUM · $13B to $15BJun 17, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $277M to $343MJun 17, 2025 to Mar 31, 2026
- Pension RAUM · $625M to $795MJun 17, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $12B to $14BJun 17, 2025 to Mar 31, 2026
- RAUM · $13B to $15BJun 17, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Apr 15, 2025 to Jun 17, 2025
- Advisory employees · 63 to 64Aug 9, 2024 to Apr 15, 2025
- Pension plan clients · 9 to 10Aug 9, 2024 to Apr 15, 2025
- Pooled vehicle clients · 53 to 55Aug 9, 2024 to Apr 15, 2025
- Employees · 124 to 122Aug 9, 2024 to Apr 15, 2025
- HQ state · unset to Aug 9, 2024 to Apr 15, 2025
- Discretionary RAUM · $15B to $13BAug 9, 2024 to Apr 15, 2025
- Non-discretionary RAUM · $367M to $277MAug 9, 2024 to Apr 15, 2025
- Pension RAUM · $322M to $625MAug 9, 2024 to Apr 15, 2025
- Pooled vehicle RAUM · $13B to $12BAug 9, 2024 to Apr 15, 2025
- RAUM · $15B to $13BAug 9, 2024 to Apr 15, 2025
- Related bank · true to falseAug 9, 2024 to Apr 15, 2025
- Related broker-dealer · false to trueAug 9, 2024 to Apr 15, 2025
- Accounts · 101 to 78Dec 19, 2023 to Mar 28, 2024
- Advisory employees · 67 to 63Dec 19, 2023 to Mar 28, 2024
- Pension plan clients · 27 to 9Dec 19, 2023 to Mar 28, 2024
- Pooled vehicle clients · 46 to 53Dec 19, 2023 to Mar 28, 2024
- Employees · 116 to 124Dec 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $22B to $15BDec 19, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $369M to $367MDec 19, 2023 to Mar 28, 2024
- Pension RAUM · $7.3B to $322MDec 19, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $12B to $13BDec 19, 2023 to Mar 28, 2024
- RAUM · $22B to $15BDec 19, 2023 to Mar 28, 2024
- Accounts · 87 to 101Nov 2, 2022 to Mar 30, 2023
- Advisory employees · 68 to 67Nov 2, 2022 to Mar 30, 2023
- Pension plan clients · 25 to 27Nov 2, 2022 to Mar 30, 2023
- Pooled vehicle clients · 39 to 46Nov 2, 2022 to Mar 30, 2023
- Employees · 123 to 116Nov 2, 2022 to Mar 30, 2023
- Discretionary RAUM · $31B to $22BNov 2, 2022 to Mar 30, 2023
- Non-discretionary RAUM · $720M to $369MNov 2, 2022 to Mar 30, 2023
- Pension RAUM · $6.3B to $7.3BNov 2, 2022 to Mar 30, 2023
Signals
12 dated events
- A•••••• G••••• I•••••••• A••• P•••••• L•••••• reported RAUM $15.2B, down 32% from $22.5B (2023-12-19 to 2024-03-28)Mar 28, 2024 · ria raum c•••ge · derived
- A•••••• G••••• I•••••••• A••• P•••••• L•••••• reported RAUM $22.5B, down 28% from $31.4B (2022-11-02 to 2023-03-30)Mar 30, 2023 · ria raum c•••ge · derived
- K••• C••• A••• Jong (Head Of Technology And Operations Asia Pacific & Director) no longer on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L•••••• (listed 2022-11-02, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Khalil Soubra (Coo Asia Pacific) appeared on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L••••••Mar 30, 2023 · Control person joined · fact
- (Nmn) Daniel Lehmann (Chief Operations Officer & Director) no longer on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L•••••• (listed 2021-03-31, absent 2021-06-15)Jun 15, 2021 · Control person left · inference
- K••• C••• A••• Jong (Head Of Technology And Operations Asia Pacific & Director) appeared on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L••••••Jun 15, 2021 · Control person joined · fact
- Wun Wun Lung (Head Of Global Policies/Head Of Business Partnering & Finance Ap & Director) appeared on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L••••••Jun 15, 2021 · Control person joined · fact
- A•••••• G••••• I•••••••• A••• P•••••• L•••••• reported RAUM $27.3B, up 108% from $13.1B (2020-03-31 to 2021-03-31)Mar 31, 2021 · ria raum c•••ge · derived
- (Nmn) Kam Wah Ip (Chief Financial Officer & Director) no longer on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L•••••• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Ernst Ferdinand Andreas Utermann (Global Chief Investment Officer) no longer on Schedule A of A•••••• G••••• I•••••••• A••• P•••••• L•••••• (listed 2019-03-29, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- A•••••• G••••• I•••••••• A••• P•••••• L•••••• reported RAUM $15.3B, up 31% from $11.7B (2018-01-31 to 2018-03-29)Mar 29, 2018 · ria raum c•••ge · derived
- A•••••• G••••• I•••••••• A••• P•••••• L•••••• filed its initial SEC registration (Form ADV)Aug 16, 2017 · ria first adv fil••• · 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
- AP.A••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +852 2238 8888reportedpublic record, Form ADV, May 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
- 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