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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

N••••••• I••••••••• M••••••••• P•• L•••

Former SEC-registered adviserSingapore, CRD 305252SEC 801-128086IAPD
Latest filing Mar 7, 2024
First filing on the tape May 2, 2023 · 4 filings
RAUM
$41.3M
reported, Item 5.F
Discretionary
100%
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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$25.5M gross assets
History
4 filings and snapshots on the tape
RAUM$41.3M as of Mar 7, 2024
May 2, 2023$43.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 7, 2024
May 2, 20230 then
Employees (5.A)4 as of Mar 7, 2024
May 2, 20234 then
Private funds2 as of Mar 7, 2024
May 2, 20234 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 7, 2024; 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
$13.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
38%derivedpensions, 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
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$25.5M, 2 clientsreportedItem 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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$25.5M62%
  • Charitable organizations$15.9M38%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$25.5M for 2 clientsreported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••••• H••• A••• F•••Hedge Fund$17.1M13Mar 26, 2018
      N••••••• A••••• M••••• F•••Hedge Fund$8.4M1Aug 27, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• J•••••••• A••••• · Directorcontrol
        since 09/2014 · owns 10% to 25%
      • L••• T•••• S••• · Directorcontrol
        since 11/2023 · owns less than 5%
      • R•••• M•••• J•••• · Chief Operations Officer & Directorcontrol
        since 09/2014 · owns less than 5%
      • S••••••••• S••••• D•••••••• · Director & Ceocontrol
        since 09/2014 · owns 50% to 75%
      Entity owners
      • K••••• H••••••• L•••••• · Shareholder
        direct · owns 10% to 25%
      • M••••••••• T•••• · Owner
        indirect · owns 75% or more of K••••• H••••••• L••••••
      • O•• T•••• ••••••••• L•••••• · Trustee
        indirect · owns F of M••••••••• T••••
      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 · 2 to 3
        May 26, 2023 to Mar 7, 2024
      • Assets in custody · $43.7M to $25.5M
        May 26, 2023 to Mar 7, 2024
      • Discretionary RAUM · $43.7M to $41.3M
        May 26, 2023 to Mar 7, 2024
      • Pooled vehicle RAUM · $43.7M to $25.5M
        May 26, 2023 to Mar 7, 2024
      • RAUM · $43.7M to $41.3M
        May 26, 2023 to Mar 7, 2024
      • Private funds · 4 to 2
        May 2, 2023 to May 18, 2023
      Signals
      2 dated events
      • Thiam Soon Lim (Director) appeared on Schedule A of N••••••• I••••••••• M••••••••• P•• L•••
        Mar 7, 2024 · Control person joined · fact
      • N••••••• I••••••••• M••••••••• P•• L••• filed its initial SEC registration (Form ADV)
        May 2, 2023 · 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.
      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