DFX Intelligence

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F••••••••• R••••••• • I••••••••• •••• K•••• C••• L••••••

Other adviserSEC-registered1 private funds· Wan Chaiwebsite

Other adviser, based in Wan Chai, reporting $1.6B of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.6B
Advisors: 0
RAUM change, 1 year: -11%
Private clients: 0.7%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-11.0%
RAUM, one year
RAUM $1.8B to $1.6B (-11.0%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 291993 · SEC 801-112761 · 17 filingsShow

CRD 291993SEC 801-112761First filing on the tape Mar 4, 2018, latest Mar 30, 2026SEC status approved since Apr 5, 2018IAPD

RAUM

$1.6B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.7%

$12.0M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +11% a year over three years · the tape starts Mar 4, 2018

Peer group: Other advisers, $1B to $5B, 318 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$1.6B as of Mar 30, 2026

Mar 29, 2019$481M then

HNW client RAUM$12.0M as of Mar 30, 2026

Mar 30, 2021$13.6M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 29, 20190 then

Employees (5.A)20 as of Mar 30, 2026

Mar 29, 201914 then

Private funds1 as of Mar 30, 2026

Mar 29, 20191 then

RAUM -11% over the last fiscal year+11% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; 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: unknownderivedHNW RAUM over HNW clients
Average account: $178MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: -11%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $209M, 1 clientreportedItem 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

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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

66% pooled investment vehicles, 31% sovereign wealth funds, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

Pooled investment vehicles$448M66%
Sovereign wealth funds$208M31%
Corporations and businesses$12.2M1.8%
High-net-worth individuals$12.0M1.8%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 9reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $209M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 1% private clients, 28% pooled funds, 13% 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 departure Every 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

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
F••••••••• G••••• C•••• O••••••••• M••••• F•••	Other Private Fund	$209M	53	Jan 19, 2018

Owners and control persons

Schedule A and B, latest filing

D•••• X•••••••• •••• · Chief Investment Officercontrol
since 11/2014 · owns less than 5%
L•• M••• N•• · Chief Compliance Officercontrol
since 03/2020 · owns less than 5%
L••• M••• T• · Chief Executive Officercontrol
since 03/2021 · owns less than 5%
D•••• X•••••••• •••• · Ownercontrol
since 07/2014 · owns 75% or more of F••••••••• R••••••• • I••••••••• C••• L••••••

Entity owners

F••••••••• R••••••• • I••••••••• C••• L•••••• · Owner
direct · owns 75% or more

Ownership changes

8 Schedule A changes between consecutive filings, latest first

Removed K•• H••• W••• N•• · Chief Operating Officer control
filing of Jun 29, 2021, against Mar 30, 2021 · owns under 5%
Added M•• L•• T• · Chief Executive Officer control
filing of Mar 30, 2021, against Mar 30, 2020 · owns under 5%
Added M•• L• N•• · Chief Compliance Officer control
filing of Mar 30, 2020, against Sep 10, 2019 · owns under 5%
Removed Y••• X• •••• · Owner control
filing of Sep 10, 2019, against Jun 28, 2019 · owns 25 to 50%
Removed M•• L• N•• · Chief Compliance Officer control
filing of Jun 28, 2019, against May 1, 2019 · owns under 5%

All 8 changes

Removed T•• P••• C•• •••• · Chief Compliance Officer control
filing of Sep 24, 2018, against Aug 17, 2018 · owns under 5%
Added M•• L• N•• · Chief Compliance Officer control
filing of Aug 17, 2018, against Jul 17, 2018 · owns under 5%
Added K•• H••• W••• N•• · Chief Operating Officer control
filing of Jul 17, 2018, against Mar 4, 2018 · owns under 5%

Who runs the funds

related persons named most often on the Form D filings of the firm's funds; 7 fund-person rows in all

Name	Where	Funds	Filings	Named
J• T••••• B••••director	Santa Monica, CA	1	8	Feb 25, 2021 to Feb 3, 2026
M•• T•• L••director	Wanchai, K3	1	6	Feb 25, 2021 to Feb 3, 2026
Y••• X•director	Kowloon, K3	1	3	n/a
M•••••• G•••• B••••••••director	Burlingame, CA	1	1	n/a
T••••• W••••• T•••••••director	Weybridge, X0	1	1	n/a
X••••••• D•••director	North Point, K3	1	1	n/a
Z•• W•••director	Eugene, OR	1	1	n/a

SEC Form D, item 3 (related persons: executive officers, directors and promoters of the issuer), every amendment on EDGAR. A name links to its IAPD record only when it matches exactly one Schedule A owner of the same adviser (2 of 7 here); every other name is as filed and is not joined to anyone.

Related persons

Schedule D 7.A

F••••••••• R••••••• • I••••••••• C••• L••••••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

institutional asset share shiftChange between filings · filing Mar 30, 2026
institutional share of RAUM moved from 33.0% to 14.0% between the annual amendments of 2025-03-28 and 2026-03-30
peers: other advisers, $1B to $5B (318)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 10 to 9
Mar 28, 2025 to Mar 30, 2026
Advisory employees · 10 to 8
Mar 28, 2025 to Mar 30, 2026
Assets in custody · $151M to $209M
Mar 28, 2025 to Mar 30, 2026
Employees · 22 to 20
Mar 28, 2025 to Mar 30, 2026
Discretionary RAUM · $1.8B to $1.6B
Mar 28, 2025 to Mar 30, 2026

Full history · 75 changes

HNW RAUM · $8.0M to $12.0M
Mar 28, 2025 to Mar 30, 2026
Pooled vehicle RAUM · $337M to $448M
Mar 28, 2025 to Mar 30, 2026
RAUM · $1.8B to $1.6B
Mar 28, 2025 to Mar 30, 2026
Advisory employees · 11 to 10
Mar 29, 2024 to Mar 28, 2025
Corporate clients · 1.0 to unset
Mar 29, 2024 to Mar 28, 2025
HNW clients · 1.0 to unset
Mar 29, 2024 to Mar 28, 2025
Assets in custody · $172M to $151M
Mar 29, 2024 to Mar 28, 2025
Employees · 23 to 22
Mar 29, 2024 to Mar 28, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 28, 2025
HQ state · unset to
Mar 29, 2024 to Mar 28, 2025
Discretionary RAUM · $1.7B to $1.8B
Mar 29, 2024 to Mar 28, 2025
HNW RAUM · $7.0M to $8.0M
Mar 29, 2024 to Mar 28, 2025
Pooled vehicle RAUM · $333M to $337M
Mar 29, 2024 to Mar 28, 2025
RAUM · $1.7B to $1.8B
Mar 29, 2024 to Mar 28, 2025
Accounts · 9 to 10
Mar 31, 2023 to Mar 29, 2024
Advisory employees · 9 to 11
Mar 31, 2023 to Mar 29, 2024
Corporate clients · 2 to 1
Mar 31, 2023 to Mar 29, 2024
Pooled vehicle clients · 2 to 3
Mar 31, 2023 to Mar 29, 2024
Assets in custody · $246M to $172M
Mar 31, 2023 to Mar 29, 2024
Employees · 19 to 23
Mar 31, 2023 to Mar 29, 2024
Discretionary RAUM · $1.2B to $1.7B
Mar 31, 2023 to Mar 29, 2024
HNW RAUM · $7.8M to $7.0M
Mar 31, 2023 to Mar 29, 2024
Pooled vehicle RAUM · $302M to $333M
Mar 31, 2023 to Mar 29, 2024
RAUM · $1.2B to $1.7B
Mar 31, 2023 to Mar 29, 2024
Assets in custody · $399M to $246M
Mar 30, 2022 to Mar 31, 2023
Discretionary RAUM · $1.6B to $1.2B
Mar 30, 2022 to Mar 31, 2023
HNW RAUM · $11.7M to $7.8M
Mar 30, 2022 to Mar 31, 2023
Pooled vehicle RAUM · $444M to $302M
Mar 30, 2022 to Mar 31, 2023
RAUM · $1.6B to $1.2B
Mar 30, 2022 to Mar 31, 2023
Accounts · 8 to 9
Jun 29, 2021 to Mar 30, 2022
Advisory employees · 8 to 9
Jun 29, 2021 to Mar 30, 2022
Pooled vehicle clients · 1 to 2
Jun 29, 2021 to Mar 30, 2022
Assets in custody · $388M to $399M
Jun 29, 2021 to Mar 30, 2022
Employees · 17 to 19
Jun 29, 2021 to Mar 30, 2022
Discretionary RAUM · $1.3B to $1.6B
Jun 29, 2021 to Mar 30, 2022
HNW RAUM · $13.6M to $11.7M
Jun 29, 2021 to Mar 30, 2022
Non-discretionary RAUM · $200M to $0
Jun 29, 2021 to Mar 30, 2022
Pooled vehicle RAUM · $388M to $444M
Jun 29, 2021 to Mar 30, 2022
RAUM · $1.5B to $1.6B
Jun 29, 2021 to Mar 30, 2022
Accounts · 6 to 8
Mar 30, 2020 to Mar 30, 2021
Advisory employees · 6 to 8
Mar 30, 2020 to Mar 30, 2021
Advisory activities · 2 to 3
Mar 30, 2020 to Mar 30, 2021
Corporate clients · 1 to 2
Mar 30, 2020 to Mar 30, 2021
HNW clients · unset to 1.0
Mar 30, 2020 to Mar 30, 2021
Assets in custody · $251M to $388M
Mar 30, 2020 to Mar 30, 2021
Employees · 15 to 17
Mar 30, 2020 to Mar 30, 2021
Discretionary RAUM · $727M to $1.3B
Mar 30, 2020 to Mar 30, 2021
HNW RAUM · unset to 13601162.0
Mar 30, 2020 to Mar 30, 2021
Non-discretionary RAUM · $165M to $200M
Mar 30, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $251M to $388M
Mar 30, 2020 to Mar 30, 2021
RAUM · $892M to $1.5B
Mar 30, 2020 to Mar 30, 2021
Accounts · 5 to 6
Sep 10, 2019 to Mar 30, 2020
Assets in custody · $180M to $251M
Sep 10, 2019 to Mar 30, 2020
Employees · 14 to 15
Sep 10, 2019 to Mar 30, 2020
Discretionary RAUM · $329M to $727M
Sep 10, 2019 to Mar 30, 2020
Non-discretionary RAUM · $152M to $165M
Sep 10, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $179M to $251M
Sep 10, 2019 to Mar 30, 2020
RAUM · $481M to $892M
Sep 10, 2019 to Mar 30, 2020
Related adviser · true to false
Sep 10, 2019 to Mar 30, 2020
Assets in custody · $179M to $180M
Mar 29, 2019 to May 1, 2019
Advisory employees · 5 to 6
Sep 24, 2018 to Mar 29, 2019
Corporate clients · unset to 1.0
Sep 24, 2018 to Mar 29, 2019
Pooled vehicle clients · 2 to 1
Sep 24, 2018 to Mar 29, 2019
Assets in custody · $183M to $179M
Sep 24, 2018 to Mar 29, 2019
Employees · 12 to 14
Sep 24, 2018 to Mar 29, 2019
Discretionary RAUM · $254M to $329M
Sep 24, 2018 to Mar 29, 2019
Non-discretionary RAUM · $195M to $152M
Sep 24, 2018 to Mar 29, 2019
Pooled vehicle RAUM · $207M to $179M
Sep 24, 2018 to Mar 29, 2019
RAUM · $449M to $481M
Sep 24, 2018 to Mar 29, 2019
Private funds · 2 to 1
Mar 4, 2018 to Jul 17, 2018

Signals

12 dated events

••• Locked
Mar 30, 2026 · Control person joined · fact
••• Locked
Mar 29, 2024 · RAUM change · derived
••• Locked
Mar 31, 2023 · RAUM change · derived
••• Locked
Jun 29, 2021 · Control person left · inference
••• Locked
Mar 30, 2021 · Control person joined · fact

Full timeline · 12 events

••• Locked
Mar 30, 2021 · RAUM change · derived
••• Locked
Mar 30, 2020 · Control person joined · fact
••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Sep 10, 2019 · Control person left · inference
••• Locked
Jun 28, 2019 · Control person left · inference
••• Locked
Jul 17, 2018 · ria registration change · fact
••• Locked
Mar 4, 2018 · 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), LinkedIn company page (1) · the addresses open with an account

2 earlier addresses on Form ADV filings, the earliest seen Sep 24, 2018

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: Other adviserderiveda 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.