DFX Intelligence
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P•••••• E••••• ••••••••• C••• L•••
Former SEC-registered adviserFormer SEC adviser· Bangkok
Former SEC-registered adviser, based in Bangkok, reporting $172M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Last reported RAUM
- $172M
- Advisors
- Not applicable
- Net advisor flow, 12 months
- Not applicable
- RAUM change, last fiscal year
- -38%
- Private clients
- 0.0% of RAUM
Form ADV
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $278MRAUM now $172M
Every filed figure, and the identifiersCRD 297686 · SEC 801-120235 · 7 filingsShowHide
CRD 297686SEC 801-120235First filing on the tape Dec 24, 2020, latest Mar 20, 2025SEC status approved since May 10, 2021IAPD
RAUM
$172M
reported, Item 5.F
Discretionary
0.0%
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
11
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$172M as of Mar 20, 2025
Mar 17, 2022$365M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2025
Mar 17, 20220 then
Employees (5.A)11 as of Mar 20, 2025
Mar 17, 202212 then
Private funds: no history
RAUM -38% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2025; 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
- $57.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- -38%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 assetsreportedItem 5.E
- Advisory activities
- 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$172M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
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 |
|---|---|---|---|---|
| L•••••• A••• I•• L••• | P•••••• Equity Fund | $31.4M | 27 | Dec 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••••••• S•••••• · Directorcontrolsince 02/2014 · owns 10% to 25%
- S••••••••• A•••••• · Chief Compliance Officercontrolsince 01/2020 · owns 10% to 25%
- V••••• P•••• P••••••••• · Directorcontrolsince 02/2002 · owns less than 5%
- W••••••••• E•••••• · Directorcontrolsince 05/2021 · owns 10% to 25%
- K••••••••• S•••••• · Directorcontrolsince 07/2020 · owns 25% to 50% of L•••••• A••• M••••••••• L••
- N•••••• M•• · Directorsince 11/2020 · owns F of L•••••• A••• M••••••••• L••
- S••••••••• A•••••• · Chief Compliance Officersince 11/2020 · owns F of L•••••• A••• M••••••••• L••
- W••••••••• E•••••• · Directorsince 11/2020 · owns F of L•••••• A••• M••••••••• L••
Entity owners
- L•••••• A••• M••••••••• L•• · S••••••••• O• P•••••• E••••• ••••••••• C••• L••direct · owns 25% to 50%
Related persons
Schedule D 7.A
- L•••••• A••• M••••••••• L•••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Ho Chi Minh City, Vietnam3 employees
What changed
consecutive filings, newest first
- Advisory employees · 12 to 10Mar 20, 2024 to Mar 20, 2025
- Employees · 13 to 11Mar 20, 2024 to Mar 20, 2025
- Financial planning clients · unset to Mar 20, 2024 to Mar 20, 2025
- HQ state · unset to Mar 20, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $278M to $172MMar 20, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $278M to $172MMar 20, 2024 to Mar 20, 2025
- RAUM · $278M to $172MMar 20, 2024 to Mar 20, 2025
- Accounts · 2 to 3Mar 20, 2023 to Mar 20, 2024
- Advisory employees · 11 to 12Mar 20, 2023 to Mar 20, 2024
- Pooled vehicle clients · 2 to 3Mar 20, 2023 to Mar 20, 2024
- Employees · 12 to 13Mar 20, 2023 to Mar 20, 2024
- Discretionary RAUM · $304M to $0Mar 20, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $0 to $278MMar 20, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $304M to $278MMar 20, 2023 to Mar 20, 2024
- RAUM · $304M to $278MMar 20, 2023 to Mar 20, 2024
- Related adviser · false to trueMar 20, 2023 to Mar 20, 2024
- Discretionary RAUM · $365M to $304MMar 17, 2022 to Mar 20, 2023
- Pooled vehicle RAUM · $365M to $304MMar 17, 2022 to Mar 20, 2023
- RAUM · $365M to $304MMar 17, 2022 to Mar 20, 2023
- Advisory employees · 12 to 11May 27, 2021 to Mar 17, 2022
- Employees · 14 to 12May 27, 2021 to Mar 17, 2022
- Other offices · 0 to 1May 27, 2021 to Mar 17, 2022
- Discretionary RAUM · $0 to $365MMay 27, 2021 to Mar 17, 2022
- Non-discretionary RAUM · $361M to $0May 27, 2021 to Mar 17, 2022
- Pooled vehicle RAUM · $361M to $365MMay 27, 2021 to Mar 17, 2022
- RAUM · $361M to $365MMay 27, 2021 to Mar 17, 2022
- Accounts · 1 to 2Mar 1, 2021 to May 27, 2021
- Advisory employees · 10 to 12Mar 1, 2021 to May 27, 2021
- Pooled vehicle clients · 1 to 2Mar 1, 2021 to May 27, 2021
- Employees · 12 to 14Mar 1, 2021 to May 27, 2021
- Non-discretionary RAUM · $250M to $361MMar 1, 2021 to May 27, 2021
- Pooled vehicle RAUM · $250M to $361MMar 1, 2021 to May 27, 2021
- RAUM · $250M to $361MMar 1, 2021 to May 27, 2021
- Related adviser · true to falseMar 1, 2021 to May 27, 2021
Signals
8 dated events
- ••• LockedApr 1, 2026 · Left the SEC roster · derived
- ••• LockedMar 25, 2026 · ria registration change · fact
- ••• LockedMar 20, 2025 · RAUM change · derived
- ••• LockedMay 27, 2021 · RAUM change · derived
- ••• LockedMay 27, 2021 · Control person left · inference
- ••• LockedMay 27, 2021 · Control person left · inference
- ••• LockedMay 27, 2021 · Control person left · inference
- ••• LockedDec 24, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- P•••••• E••••• ••••••••• C••• L••• · Private Equityshared crd · organization
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
- Former SEC-registered adviserderiveda 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