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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Latest filing Mar 31, 2026
First filing on the tape Dec 12, 2017 · 16 filings
SEC status approved since Mar 8, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Mar 31, 2026
Apr 2, 2025$0 then
HNW client RAUM$0 as of Mar 31, 2026
Mar 28, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20190 then
Employees (5.A)4 as of Mar 31, 2026
Mar 28, 20192 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 1reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false 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
- F•••• S•••••• N•• · Directorcontrolsince 01/2014 · owns 75% or more
- L•• Z•• · Operation Managersince 04/2021 · owns less than 5%
- W•••• X••• · Operation Managersince 04/2021 · owns less than 5%
- Z••••• L••• · Chief Compliance Officersince 12/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · unset to 0.0Mar 27, 2024 to Apr 2, 2025
- Financial planning clients · unset to Mar 27, 2024 to Apr 2, 2025
- HQ state · unset to Mar 27, 2024 to Apr 2, 2025
- Discretionary RAUM · unset to 0.0Mar 27, 2024 to Apr 2, 2025
- Non-discretionary RAUM · unset to 0.0Mar 27, 2024 to Apr 2, 2025
- RAUM · unset to 0.0Mar 27, 2024 to Apr 2, 2025
- Related broker-dealer · true to falseJul 26, 2022 to Feb 22, 2023
- Corporate clients · 6 to 4Nov 16, 2021 to Mar 23, 2022
- Related broker-dealer · false to trueAug 16, 2021 to Nov 16, 2021
- Employees · 2 to 4Mar 26, 2021 to Jul 15, 2021
- Corporate clients · 0 to 6Feb 24, 2020 to Mar 26, 2021
- Individual clients · 0 to 1Feb 24, 2020 to Mar 26, 2021
- Accounts · 0.0 to unsetMar 20, 2018 to Mar 28, 2019
- Charity clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Corporate clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- HNW clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Individual clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Pension plan clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Pooled vehicle clients · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- HQ city · CHAOYANG DISTRICT, BEIJING to BEIJINGMar 20, 2018 to Mar 28, 2019
- State-registered IARs · 1 to 0Mar 20, 2018 to Mar 28, 2019
- Other offices · 1 to 0Mar 20, 2018 to Mar 28, 2019
- Discretionary RAUM · 0.0 to unsetMar 20, 2018 to Mar 28, 2019
- HNW RAUM · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Individual RAUM · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Non-discretionary RAUM · 0.0 to unsetMar 20, 2018 to Mar 28, 2019
- Pension RAUM · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · unset to 0.0Mar 20, 2018 to Mar 28, 2019
- RAUM · 0.0 to unsetMar 20, 2018 to Mar 28, 2019
Signals
2 dated events
- Nmn Lei Gao (Chief Compliance Officer) no longer on Schedule A of X••••• H••••••• L•••••• (listed 2018-03-20, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- X••••• H••••••• L•••••• filed its initial SEC registration (Form ADV)Dec 12, 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
- Principal office phone
- 86-10-61840600reportedpublic record, Form ADV, Mar 31, 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
- No RAUM reportedderiveda 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