DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T••••••••• I•••

Independent wealth managerSEC-registered· Taipeiwebsite

Independent wealth manager, based in Taipei, reporting $4.4M of regulatory assets.

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

Regulatory AUM
$4.4M
Advisors
0
RAUM change, 1 year
+7.2%
Private clients
100%
of RAUM, $4.4M
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

Nothing material in the last 180 days. Last change: 2 Mar 2026, RAUM $4.06M to $4.35M (+7.2%) on the Form ADV filed 2 Mar 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 298542 · SEC 801-114112 · 11 filingsShow
CRD 298542SEC 801-114112First filing on the tape Sep 10, 2018, latest Mar 2, 2026SEC status approved since Dec 17, 2018IAPD
RAUM
$4.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$4.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape

RAUM -1.4% a year over three years · the tape starts Sep 10, 2018

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$4.4M as of Mar 2, 2026
Feb 15, 2019$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2026
Feb 15, 20191 then
Employees (5.A)2 as of Mar 2, 2026
Feb 15, 20193 then
Private funds: no history
RAUM +7.2% over the last fiscal year-1.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$4.4MderivedRAUM 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
$25,917derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+7.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Wrap fee program
$4.4MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow
  • Individuals$4.4M100%
Individual clients
168reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
168reported
Financial planning clients
reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
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
      • L••• C••• H•• · Chief Compliance Officercontrol
        since 12/2021 · owns 5% to 10%
      • P•••• H•• •••••• N•• · Chief Executive Officercontrol
        since 10/2018 · owns less than 5%
      • P•••• H•• S••••• N•• · Ownercontrol
        since 01/2018 · owns 25% to 50% of L••••• T••••••••• C••• L••
      Entity owners
      • L••••• T••••••••• C••• L•• · Owner
        direct · owns 75% or more
      Ownership changes
      2 Schedule A changes between consecutive filings, latest first
      • Added C••• H•• L•• · Chief Compliance Officer control
        filing of Mar 1, 2022, against Mar 1, 2021 · owns 5 to 10%
      • Removed C•••• Y••• C•••• N•• · Chief Compliance Officer control
        filing of Mar 1, 2022, against Mar 1, 2021 · 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
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 156 to 168
        Mar 18, 2025 to Mar 2, 2026
      • Advisory activities · 3 to 4
        Mar 18, 2025 to Mar 2, 2026
      • Individual clients · 156 to 168
        Mar 18, 2025 to Mar 2, 2026
      • Discretionary RAUM · $4.1M to $4.4M
        Mar 18, 2025 to Mar 2, 2026
      • Individual RAUM · $4.1M to $4.4M
        Mar 18, 2025 to Mar 2, 2026
      Full history · 43 changes
      • RAUM · $4.1M to $4.4M
        Mar 18, 2025 to Mar 2, 2026
      • Accounts · 180 to 156
        Mar 18, 2024 to Mar 18, 2025
      • Individual clients · 180 to 156
        Mar 18, 2024 to Mar 18, 2025
      • Financial planning clients · unset to
        Mar 18, 2024 to Mar 18, 2025
      • HQ state · unset to
        Mar 18, 2024 to Mar 18, 2025
      • Discretionary RAUM · $4.7M to $4.1M
        Mar 18, 2024 to Mar 18, 2025
      • Individual RAUM · $4.7M to $4.1M
        Mar 18, 2024 to Mar 18, 2025
      • RAUM · $4.7M to $4.1M
        Mar 18, 2024 to Mar 18, 2025
      • Accounts · 184 to 180
        Feb 22, 2023 to Mar 18, 2024
      • Individual clients · 184 to 180
        Feb 22, 2023 to Mar 18, 2024
      • Employees · 3 to 2
        Feb 22, 2023 to Mar 18, 2024
      • Discretionary RAUM · $4.5M to $4.7M
        Feb 22, 2023 to Mar 18, 2024
      • Individual RAUM · $4.5M to $4.7M
        Feb 22, 2023 to Mar 18, 2024
      • RAUM · $4.5M to $4.7M
        Feb 22, 2023 to Mar 18, 2024
      • Accounts · 162 to 184
        Mar 1, 2022 to Feb 22, 2023
      • Individual clients · 162 to 184
        Mar 1, 2022 to Feb 22, 2023
      • Discretionary RAUM · $4.8M to $4.5M
        Mar 1, 2022 to Feb 22, 2023
      • Individual RAUM · $4.8M to $4.5M
        Mar 1, 2022 to Feb 22, 2023
      • RAUM · $4.8M to $4.5M
        Mar 1, 2022 to Feb 22, 2023
      • Accounts · 88 to 162
        Mar 1, 2021 to Mar 1, 2022
      • Individual clients · 88 to 162
        Mar 1, 2021 to Mar 1, 2022
      • Discretionary RAUM · $2.9M to $4.8M
        Mar 1, 2021 to Mar 1, 2022
      • Individual RAUM · $2.9M to $4.8M
        Mar 1, 2021 to Mar 1, 2022
      • RAUM · $2.9M to $4.8M
        Mar 1, 2021 to Mar 1, 2022
      • Accounts · 23 to 88
        Jun 29, 2020 to Mar 1, 2021
      • Advisory activities · 1 to 3
        Jun 29, 2020 to Mar 1, 2021
      • Individual clients · 23 to 88
        Jun 29, 2020 to Mar 1, 2021
      • Discretionary RAUM · $727,268 to $2.9M
        Jun 29, 2020 to Mar 1, 2021
      • Individual RAUM · $727,268 to $2.9M
        Jun 29, 2020 to Mar 1, 2021
      • RAUM · $727,268 to $2.9M
        Jun 29, 2020 to Mar 1, 2021
      • Accounts · 0 to 23
        Feb 15, 2019 to Mar 6, 2020
      • Individual clients · unset to 23.0
        Feb 15, 2019 to Mar 6, 2020
      • Discretionary RAUM · $0 to $727,268
        Feb 15, 2019 to Mar 6, 2020
      • Individual RAUM · unset to 727268.0
        Feb 15, 2019 to Mar 6, 2020
      • RAUM · $0 to $727,268
        Feb 15, 2019 to Mar 6, 2020
      • Wrap assets (manager) · $1 to $0
        Feb 15, 2019 to Mar 6, 2020
      • Wrap assets (sponsor) · $1 to $0
        Feb 15, 2019 to Mar 6, 2020
      • Employees · 1 to 3
        Sep 10, 2018 to Nov 1, 2018
      Signals
      3 dated events
      • ••• Locked
        Mar 1, 2022 · Control person joined · fact
      • ••• Locked
        Mar 1, 2022 · Control person left · inference
      • ••• Locked
        Sep 10, 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) · the addresses open with an account

      1 earlier address on Form ADV filings, the earliest seen Feb 15, 2019
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 2, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 2, 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.