DFX Intelligence

RIA Intelligence

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F••••••••• A•••• M••••••••• P•• L••

Independent wealth managerSEC-registered· Singapore, Singaporewebsite

Independent wealth manager, based in Singapore, Singapore, reporting $341M of regulatory assets.

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

Regulatory AUM
$341M
Advisors
0
RAUM change, 1 year
+44%
Private clients
100%
of RAUM, $341M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What may matter next

A pattern DFX replayed against history, using only what was known on each date, points at this record. The rate belongs to the pattern, not to this entity; what already happened is below.

F••••••••• A•••• M••••••••• P•• L••ValidatedHighly elevated

3.1x elevated pattern: launches its first private fund.

Historical cohort rate 3.5% vs 0.7% baseline within 12 months. A rate for the pattern, not a probability for this entity.

Window 2026-09-25 to 2027-09-25, as of 2026-09-25

Firm AUM band, Form ADV Item 5.F (firm size, not the size of a first fund): $250M to $500M

Confidence: signal moderate, timing moderate, outcome low, identity high, magnitude high.

  • DerivedI•• l••••• F••• A•• ••••••••• s••• i• c•••••• p••••••••• f••• b•• i• r•••••• n• p•••••• f••••

Decision maker identified; on file: firm phone.

How the pattern measured, and every other entity on it: RIA firms: what comes next, for distributors.

Nothing material in the last 180 days. Last change: 27 Mar 2025, RAUM $238M to $341M (+43.6%) on the Form ADV filed 27 Mar 2025.

Every filed figure, and the identifiersCRD 290461 · SEC 801-112062 · 18 filingsShow
CRD 290461SEC 801-112062First filing on the tape Oct 24, 2017, latest Mar 27, 2025SEC status approved since Jan 12, 2018IAPD
RAUM
$341M
reported, Item 5.F
Discretionary
52%
of RAUM
Private clients
100%
$341M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
16
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape

RAUM +3.1% a year over three years · the tape starts Oct 24, 2017

Peer group: Independent wealth managers, $100M to $500M, 5,553 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$341M as of Mar 27, 2025
Mar 22, 2018$255M then
HNW client RAUM$341M as of Mar 27, 2025
Mar 22, 2018$253M then
State-registered IARs (5.B.3)0 as of Mar 27, 2025
Mar 22, 20185 then
Employees (5.A)16 as of Mar 27, 2025
Mar 22, 20186 then
Private funds: no history
RAUM +44% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2025; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$897,916derivedHNW RAUM over HNW clients
Average account
$406,200derivedRAUM over accounts (5.F.2.f)
Discretionary
52%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+44%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-based, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$341M100%
Individual clients
n/areported
HNW clients
380reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
840reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performance, commissionsreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; no bank ownerderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Y••••••• S•••••• A•••••• · Shareholdercontrol
        since 01/2018 · owns 50% to 75%
      • Y••••• M•••••• J•••• · Ceocontrol
        since 10/2015 · owns 50% to 75%
      • R••••••••• M••••••••• · Chief Compliance Officer
        since 10/2020 · owns less than 5%
      Ownership changes
      8 Schedule A changes between consecutive filings, latest first
      • Added M••••••••• R•••••••• · Chief Compliance Officer
        filing of Apr 7, 2021, against Apr 29, 2020 · owns under 5%
      • Removed K•• J•••• · Compliance Officer
        filing of Apr 7, 2021, against Apr 29, 2020 · owns under 5%
      • Removed S••••• Y•••••• · Owner control
        filing of May 16, 2018, against May 14, 2018 · owns 50 to 75%
      • Added S••••• Y•••••• · Owner control
        filing of May 14, 2018, against Apr 11, 2018 · owns 50 to 75%
      • Removed F••••••••• S•••••••• P•• L•• · Holding Company
        filing of May 14, 2018, against Apr 11, 2018 · general partner, trustee or elected manager · entity
      All 8 changes
      • Added F••••••••• S•••••••• P•• L•• · Holding Company control
        filing of Mar 22, 2018, against Dec 13, 2017 · owns 75% or more · entity
      • Added S••••• Y•••••• A•••••• · Shareholder control
        filing of Mar 22, 2018, against Dec 13, 2017 · owns 50 to 75%
      • Added K•• J•••• · Compliance Officer
        filing of Dec 13, 2017, against Oct 24, 2017 · owns under 5%
      Who runs the funds
      related persons named most often on the Form D filings of the firm's funds
      No Form D related person is on record for this firm's funds.
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Dubai, United Arab Emirates3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 827 to 840
        Mar 27, 2024 to Mar 27, 2025
      • HNW clients · 29 to 380
        Mar 27, 2024 to Mar 27, 2025
      • Individual clients · 335.0 to unset
        Mar 27, 2024 to Mar 27, 2025
      • Employees · 17 to 16
        Mar 27, 2024 to Mar 27, 2025
      • Financial planning clients · 251-500 to 251-500
        Mar 27, 2024 to Mar 27, 2025
      Full history · 77 changes
      • HQ state · unset to
        Mar 27, 2024 to Mar 27, 2025
      • Discretionary RAUM · $71.7M to $178M
        Mar 27, 2024 to Mar 27, 2025
      • HNW RAUM · $71.7M to $341M
        Mar 27, 2024 to Mar 27, 2025
      • Individual RAUM · 165859707.0 to unset
        Mar 27, 2024 to Mar 27, 2025
      • Non-discretionary RAUM · $166M to $163M
        Mar 27, 2024 to Mar 27, 2025
      • RAUM · $238M to $341M
        Mar 27, 2024 to Mar 27, 2025
      • Accounts · 366 to 827
        Mar 22, 2023 to Mar 27, 2024
      • Advisory employees · 10 to 11
        Mar 22, 2023 to Mar 27, 2024
      • HNW clients · 40 to 29
        Mar 22, 2023 to Mar 27, 2024
      • Individual clients · 350 to 335
        Mar 22, 2023 to Mar 27, 2024
      • Employees · 10 to 17
        Mar 22, 2023 to Mar 27, 2024
      • Organization form · Corporation to Limited Liability Company
        Mar 22, 2023 to Mar 27, 2024
      • Discretionary RAUM · $79.2M to $71.7M
        Mar 22, 2023 to Mar 27, 2024
      • HNW RAUM · $79.2M to $71.7M
        Mar 22, 2023 to Mar 27, 2024
      • Individual RAUM · $155M to $166M
        Mar 22, 2023 to Mar 27, 2024
      • Non-discretionary RAUM · $155M to $166M
        Mar 22, 2023 to Mar 27, 2024
      • RAUM · $235M to $238M
        Mar 22, 2023 to Mar 27, 2024
      • Accounts · 535 to 366
        Mar 29, 2022 to Mar 22, 2023
      • Advisory employees · 9 to 10
        Mar 29, 2022 to Mar 22, 2023
      • HNW clients · 55 to 40
        Mar 29, 2022 to Mar 22, 2023
      • Individual clients · 480 to 350
        Mar 29, 2022 to Mar 22, 2023
      • Employees · 12 to 10
        Mar 29, 2022 to Mar 22, 2023
      • Financial planning clients · 51-100 to 251-500
        Mar 29, 2022 to Mar 22, 2023
      • State-registered IARs · 8 to 0
        Mar 29, 2022 to Mar 22, 2023
      • Discretionary RAUM · $121M to $79.2M
        Mar 29, 2022 to Mar 22, 2023
      • HNW RAUM · $121M to $79.2M
        Mar 29, 2022 to Mar 22, 2023
      • Individual RAUM · $191M to $155M
        Mar 29, 2022 to Mar 22, 2023
      • Non-discretionary RAUM · $191M to $155M
        Mar 29, 2022 to Mar 22, 2023
      • RAUM · $312M to $235M
        Mar 29, 2022 to Mar 22, 2023
      • Accounts · 110 to 535
        Apr 15, 2021 to Mar 29, 2022
      • Advisory employees · 6 to 9
        Apr 15, 2021 to Mar 29, 2022
      • HNW clients · 76 to 55
        Apr 15, 2021 to Mar 29, 2022
      • Individual clients · unset to 480.0
        Apr 15, 2021 to Mar 29, 2022
      • Employees · 8 to 12
        Apr 15, 2021 to Mar 29, 2022
      • Financial planning clients · 26-50 to 51-100
        Apr 15, 2021 to Mar 29, 2022
      • State-registered IARs · 3 to 8
        Apr 15, 2021 to Mar 29, 2022
      • Discretionary RAUM · $158M to $121M
        Apr 15, 2021 to Mar 29, 2022
      • HNW RAUM · $158M to $121M
        Apr 15, 2021 to Mar 29, 2022
      • Individual RAUM · unset to 190967112.0
        Apr 15, 2021 to Mar 29, 2022
      • Non-discretionary RAUM · $1.0B to $191M
        Apr 15, 2021 to Mar 29, 2022
      • RAUM · $1.2B to $312M
        Apr 15, 2021 to Mar 29, 2022
      • Related adviser · false to true
        Apr 15, 2021 to Mar 29, 2022
      • Accounts · 33 to 110
        Apr 29, 2020 to Apr 7, 2021
      • Advisory employees · 5 to 6
        Apr 29, 2020 to Apr 7, 2021
      • BD registered reps · 4 to 0
        Apr 29, 2020 to Apr 7, 2021
      • Corporate clients · 3.0 to unset
        Apr 29, 2020 to Apr 7, 2021
      • HNW clients · 30 to 76
        Apr 29, 2020 to Apr 7, 2021
      • Employees · 9 to 8
        Apr 29, 2020 to Apr 7, 2021
      • Insurance-licensed employees · 2 to 0
        Apr 29, 2020 to Apr 7, 2021
      • Financial planning clients · 1-10 to 26-50
        Apr 29, 2020 to Apr 7, 2021
      • Discretionary RAUM · $25.0M to $158M
        Apr 29, 2020 to Apr 7, 2021
      • HNW RAUM · $21.9M to $158M
        Apr 29, 2020 to Apr 7, 2021
      • Non-discretionary RAUM · $0 to $1.0B
        Apr 29, 2020 to Apr 7, 2021
      • RAUM · $25.0M to $1.2B
        Apr 29, 2020 to Apr 7, 2021
      • Advisory employees · 3 to 5
        Aug 4, 2019 to Apr 29, 2020
      • BD registered reps · 0 to 4
        Aug 4, 2019 to Apr 29, 2020
      • Employees · 4 to 9
        Aug 4, 2019 to Apr 29, 2020
      • Insurance-licensed employees · 3 to 2
        Aug 4, 2019 to Apr 29, 2020
      • Other offices · 0 to 1
        Mar 4, 2019 to Aug 4, 2019
      • Accounts · 46 to 33
        May 16, 2018 to Mar 4, 2019
      • Advisory employees · 5 to 3
        May 16, 2018 to Mar 4, 2019
      • Corporate clients · 1 to 3
        May 16, 2018 to Mar 4, 2019
      • HNW clients · 44 to 30
        May 16, 2018 to Mar 4, 2019
      • Employees · 6 to 4
        May 16, 2018 to Mar 4, 2019
      • Insurance-licensed employees · 5 to 3
        May 16, 2018 to Mar 4, 2019
      • State-registered IARs · 5 to 3
        May 16, 2018 to Mar 4, 2019
      • Discretionary RAUM · $255M to $25.0M
        May 16, 2018 to Mar 4, 2019
      • HNW RAUM · $253M to $21.9M
        May 16, 2018 to Mar 4, 2019
      • RAUM · $255M to $25.0M
        May 16, 2018 to Mar 4, 2019
      • Discretionary RAUM · $256M to $255M
        Dec 13, 2017 to Mar 22, 2018
      • HNW RAUM · $253M to $253M
        Dec 13, 2017 to Mar 22, 2018
      • RAUM · $256M to $255M
        Dec 13, 2017 to Mar 22, 2018
      Signals
      4 dated events
      • ••• Locked
        Mar 27, 2025 · RAUM change · derived
      • ••• Locked
        Mar 29, 2022 · RAUM change · derived
      • ••• Locked
        Mar 4, 2019 · RAUM change · derived
      • ••• Locked
        Oct 24, 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.
      Web presence
      addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

      Website (1) · the addresses open with an account

      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2025
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 2025
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.