DFX Intelligence
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SEC-registered adviser
P••• S•••••• A••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Oct 9, 2017 · 26 filings
SEC status approved since Nov 29, 2017
RAUM
$35.5M
reported, Item 5.F
Discretionary
15%
of RAUM
Private clients
94%
$33.3M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$35.5M
derived; firm RAUM over IAPD count
Employees
2
1 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$35.5M as of Aug 4, 2026
Apr 9, 2019$0 then
HNW client RAUM$33.3M as of Aug 4, 2026
May 11, 2018$0 then
State-registered IARs (5.B.3)1 as of Aug 4, 2026
May 11, 20180 then
Employees (5.A)2 as of Aug 4, 2026
May 11, 20181 then
Private funds: no history
RAUM +1662% over the last fiscal year+176% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 15%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1662%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$33.3M94%
- Corporations and businesses$2.2M6.1%
- Individuals$40,8510.1%
- Individual clients
- 2reported
- HNW clients
- 18reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 25reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•• Z•••• | Beijing | Dec 23, 2025 | 13 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- L•• Z•••• from B•••• I••••••••• S••••••••• L••Oct 3, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Z••••• L•• · Ceo/Cfo/Coo/Ccocontrolsince 09/2019 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 4, 2026 to Sep 2, 2026
- HQ city · to unsetAug 4, 2026 to Sep 2, 2026
- HQ state · to unsetAug 4, 2026 to Sep 2, 2026
- Related adviser · false to unsetAug 4, 2026 to Sep 2, 2026
- Related bank · false to unsetAug 4, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetAug 4, 2026 to Sep 2, 2026
- Related insurance company · false to unsetAug 4, 2026 to Sep 2, 2026
- Succession · false to unsetAug 4, 2026 to Sep 2, 2026
- Accounts · 16 to 25Dec 23, 2025 to Mar 31, 2026
- Corporate clients · unset to 5.0Dec 23, 2025 to Mar 31, 2026
- HNW clients · 8 to 18Dec 23, 2025 to Mar 31, 2026
- Individual clients · unset to 2.0Dec 23, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.7M to $5.4MDec 23, 2025 to Mar 31, 2026
- HNW RAUM · $2.1M to $33.3MDec 23, 2025 to Mar 31, 2026
- Individual RAUM · $0 to $40,851Dec 23, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $30.1MDec 23, 2025 to Mar 31, 2026
- RAUM · $4.7M to $35.5MDec 23, 2025 to Mar 31, 2026
- Accounts · 10 to 16Mar 28, 2025 to Dec 23, 2025
- Employees · 1 to 2Mar 28, 2025 to Dec 23, 2025
- Discretionary RAUM · $1.9M to $4.7MMar 28, 2025 to Dec 23, 2025
- HNW RAUM · $1.5M to $2.1MMar 28, 2025 to Dec 23, 2025
- Non-discretionary RAUM · $136,209 to $0Mar 28, 2025 to Dec 23, 2025
- RAUM · $2.0M to $4.7MMar 28, 2025 to Dec 23, 2025
- Accounts · 9 to 10Mar 7, 2024 to Mar 28, 2025
- HNW clients · 7 to 8Mar 7, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 0Mar 7, 2024 to Mar 28, 2025
- HQ city · unset to Mar 7, 2024 to Mar 28, 2025
- HQ state · unset to Mar 7, 2024 to Mar 28, 2025
- Discretionary RAUM · $1.7M to $1.9MMar 7, 2024 to Mar 28, 2025
- HNW RAUM · $1.0M to $1.5MMar 7, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $0 to $136,209Mar 7, 2024 to Mar 28, 2025
- RAUM · $1.7M to $2.0MMar 7, 2024 to Mar 28, 2025
- Corporate clients · 2.0 to unsetMar 29, 2023 to Mar 7, 2024
- HNW clients · unset to 7.0Mar 29, 2023 to Mar 7, 2024
- Individual clients · 7.0 to unsetMar 29, 2023 to Mar 7, 2024
- HQ city · BEIJING to unsetMar 29, 2023 to Mar 7, 2024
- Discretionary RAUM · $1.7M to $1.7MMar 29, 2023 to Mar 7, 2024
- HNW RAUM · $0 to $1.0MMar 29, 2023 to Mar 7, 2024
- Individual RAUM · $1.0M to $0Mar 29, 2023 to Mar 7, 2024
- RAUM · $1.7M to $1.7MMar 29, 2023 to Mar 7, 2024
Signals
3 dated events
- ••• LockedSep 18, 2019 · Control person left · inference
- ••• LockedSep 18, 2019 · Control person joined · fact
- ••• LockedOct 9, 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
- Business email
- c••••••@p•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- p•••••••••.comreportedpublic record, Form ADV, Sep 2, 2026
- Principal office phone
- 2563677834reportedpublic record, Form ADV, Sep 2, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026