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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
C••• A•••• I••••••••• M••••••••• ••••• L••
Latest filing Jul 21, 2026
First filing on the tape Aug 25, 2017 · 27 filings
SEC status approved since Sep 25, 2017
RAUM
$175M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$175M as of Jul 21, 2026
Jan 24, 2018$60.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 21, 2026
Jan 24, 20180 then
Employees (5.A)1 as of Jul 21, 2026
Jan 24, 20182 then
Private funds1 as of Jul 21, 2026
Jan 24, 20181 then
RAUM -1.4% over the last fiscal year+5.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 21, 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
- $175MderivedRAUM 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
- -1.4%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
- $158M, 1 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$175M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| G••••• R••• C•••••• F••• L••• | Private Equity Fund | $173M | 9 | Jan 24, 2018 |
Owners and control persons
Schedule A and B, latest filing
- L••• K•••• K• · Directorcontrolsince 12/2021 · owns less than 5%
- L•• Y•• · Directorcontrolsince 12/2021 · owns less than 5%
- Q••• Y•• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- Z••••• L••••• · Directorcontrolsince 09/2017 · owns less than 5%
- S••• L••••• · 100% Shareholdercontrolsince 05/2023 · owns 75% or more of A•••• I••••••••• G•••• H•••••• L•••••• •••••••
Entity owners
- C••• A•••• I••••••••• G•••• L•••••• ••••••• · 100% Owner - Managing Memberdirect · owns 75% or more
- A•••• I••••••••• G•••• H•••••• L•••••• ••••••• · 50% Shareholderindirect · owns 50% to 75% of C••• A•••• I••••••••• G•••• L•••••• •••••••
- C•••••• H••••• I••••••••• L•••••• · 40.11% Shareholderindirect · owns 25% to 50% of C•••• I••••••••• C•••••• C••••••••• L••••••
- C•••• I••••••••• C•••••• C••••••••• ••••••••• L•••••• · 100 % Shareholder / Ownerindirect · owns 75% or more of C••• C•••••• ••••••• L••••••
- C•••• I••••••••• C•••••• C••••••••• L•••••• · 100% Shareholder / Ownerindirect · owns 75% or more of C•••• I••••••••• C•••••• C••••••••• ••••••••• L••••••
- C•••• I••••••••• C••••••••• · 100 % Shareholder / Ownerindirect · owns 75% or more of C•••••• H••••• I••••••••• L••••••
- C••• A•••• I••••••••• G•••• L•••••• ••••••• · 100% Shareholderindirect · owns 75% or more of C••• A•••• I••••••••• G•••• L•••••• •••••••
- C••• C•••••• ••••••• L•••••• · 50% Shareholderindirect · owns 50% to 75% of C••• A•••• I••••••••• G•••• L•••••• •••••••
- H•••• N••••••• L•••••• · 39.42% Ownership Collectively Owned By Public Shareholdersindirect · owns 25% to 50% of C•••• I••••••••• C•••••• C••••••••• L••••••
Related persons
Schedule D 7.A
- C••• A•••• I••••••••• G•••• L••••••pooled vehicle sponsory
- C••• I••••••••• A••••••• C•••••• L••••••investment advisern
- C••• I••••••••• M••••••••• ••••• I•••investment advisernRAUM $41.0M
- C••• U• S••••••••• I•••broker-dealern
- G••• W••••• M••••••••• L••investment advisernRAUM $243,447
- G••••• R••• C•••••• F••• G•• L•••pooled vehicle sponsorn
- K•••• F•••• A•••••••• L••investment advisernRAUM $12B
Advisers that list C••• A•••• I••••••••• M••••••••• ••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Jul 21, 2026bank affiliate (Item 7.A.6): yes on the filing of 2026-03-25, no on the filing of 2026-07-21peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Related bank · true to falseMar 25, 2026 to Jul 21, 2026
- Assets in custody · $161M to $158MJun 5, 2025 to Mar 25, 2026
- Discretionary RAUM · $178M to $175MJun 5, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $178M to $175MJun 5, 2025 to Mar 25, 2026
- RAUM · $178M to $175MJun 5, 2025 to Mar 25, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 5, 2025
- Assets in custody · $167M to $161MMay 2, 2024 to Mar 31, 2025
- Discretionary RAUM · $173M to $178MMay 2, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $173M to $178MMay 2, 2024 to Mar 31, 2025
- RAUM · $173M to $178MMay 2, 2024 to Mar 31, 2025
- Related bank · false to trueMay 2, 2024 to Mar 31, 2025
- Advisory employees · 2 to 1Jan 10, 2024 to Mar 29, 2024
- Employees · 2 to 1Jan 10, 2024 to Mar 29, 2024
- Discretionary RAUM · $176M to $173MJan 10, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $176M to $173MJan 10, 2024 to Mar 29, 2024
- RAUM · $176M to $173MJan 10, 2024 to Mar 29, 2024
- Assets in custody · unset to 166977622.0Jul 21, 2023 to Jan 10, 2024
- Custody of client assets · false to trueJul 21, 2023 to Jan 10, 2024
- Discretionary RAUM · $148M to $176MMar 30, 2023 to Jul 21, 2023
- Pooled vehicle RAUM · $148M to $176MMar 30, 2023 to Jul 21, 2023
- RAUM · $148M to $176MMar 30, 2023 to Jul 21, 2023
- Discretionary RAUM · $126M to $148MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $126M to $148MMar 31, 2022 to Mar 30, 2023
- RAUM · $126M to $148MMar 31, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0Mar 30, 2021 to Mar 31, 2022
- Discretionary RAUM · $124M to $126MMar 30, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $124M to $126MMar 30, 2021 to Mar 31, 2022
- RAUM · $124M to $126MMar 30, 2021 to Mar 31, 2022
- Employees · 3 to 2Mar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $134M to $124MMar 31, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $134M to $124MMar 31, 2020 to Mar 30, 2021
- RAUM · $134M to $124MMar 31, 2020 to Mar 30, 2021
- Discretionary RAUM · $150M to $134MOct 11, 2019 to Mar 31, 2020
- Pooled vehicle RAUM · $150M to $134MOct 11, 2019 to Mar 31, 2020
- RAUM · $150M to $134MOct 11, 2019 to Mar 31, 2020
- Advisory employees · 1 to 2Oct 23, 2018 to Mar 28, 2019
- BD registered reps · 2 to 1Oct 23, 2018 to Mar 28, 2019
- Assets in custody · 150000000.0 to unsetOct 23, 2018 to Mar 28, 2019
- Custody of client assets · true to falseOct 23, 2018 to Mar 28, 2019
- Employees · 2 to 3Oct 23, 2018 to Mar 28, 2019
Signals
7 dated events
- Nmn Yin X•••••• (100% Shareholder) no longer on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L•• (listed 2023-03-30, absent 2023-07-21)Jul 21, 2023 · Control person left · inference
- T••• Li (Chief Compliance Officer) no longer on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L•• (listed 2023-03-30, absent 2023-07-21)Jul 21, 2023 · Control person left · inference
- Yan Qin (Chief Compliance Officer) appeared on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L••Jul 21, 2023 · Control person joined · fact
- L••••• Sun (100% Shareholder) appeared on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L••Jul 21, 2023 · Control person joined · fact
- Yin Lu (Director) appeared on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L••Mar 31, 2022 · Control person joined · fact
- K K••• Lai (Director) appeared on Schedule A of C••• A•••• I••••••••• M••••••••• ••••• L••Mar 31, 2022 · Control person joined · fact
- C••• A•••• I••••••••• M••••••••• •••• L•• filed its initial SEC registration (Form ADV)Aug 25, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••• A•••• I••••••••• M••••••••• ••••• L•• · Independent Sponsorsshared crd · capital_provider
- C••• A•••• I••••••••• M••••••••• ••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 646-794-8800reportedpublic record, Form ADV, Jul 21, 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