DFX Intelligence
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SEC-registered adviser
W•••••• C•••••• M••••••••• L••••••
Latest filing Mar 24, 2026
First filing on the tape Aug 20, 2020 · 7 filings
SEC status approved since Feb 18, 2021
RAUM
$806M
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
13
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$806M as of Mar 24, 2026
Mar 29, 2022$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2026
Mar 29, 20220 then
Employees (5.A)13 as of Mar 24, 2026
Mar 29, 20227 then
Private funds1 as of Mar 24, 2026
Mar 29, 20222 then
RAUM +40% over the last fiscal year-10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $134MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +40%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 pooled vehiclesreportedItem 5.G
- Custody
- $806M, 6 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$806M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $806M for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•••••• P••••••• M••••• F••• | Hedge Fund | $480M | 13 | Aug 20, 2020 |
| W•••••• P••••••• P••• M••••• F••• | Hedge Fund | $196M | 5 | Aug 20, 2020 |
| B•••••••• P••••••• L•• • S••••• A• • W•••••• C•••••• S••••••••• | Hedge Fund | $104M | 4 | Mar 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- L••• X••• · Chief Investment Officer, Owner, Directorcontrolsince 09/2017 · owns 50% to 75%
- L••• X••••• · Shareholdercontrolsince 09/2017 · owns 25% to 50%
- M•• Y••••• · Chief Operating Officercontrolsince 12/2017 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-24, yes on the filing of 2026-03-24peers: asset managers, $500M to $1B (784)
What changed
consecutive filings, newest first
- Accounts · 7 to 6Mar 24, 2025 to Mar 24, 2026
- Pooled vehicle clients · 7 to 6Mar 24, 2025 to Mar 24, 2026
- Assets in custody · unset to 806253399.0Mar 24, 2025 to Mar 24, 2026
- Custody of client assets · false to trueMar 24, 2025 to Mar 24, 2026
- Employees · 14 to 13Mar 24, 2025 to Mar 24, 2026
- Organization form · Other (specify) to CorporationMar 24, 2025 to Mar 24, 2026
- Discretionary RAUM · $577M to $806MMar 24, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $577M to $806MMar 24, 2025 to Mar 24, 2026
- RAUM · $577M to $806MMar 24, 2025 to Mar 24, 2026
- Accounts · 8 to 7Mar 21, 2024 to Mar 24, 2025
- Advisory activities · 2 to 1Mar 21, 2024 to Mar 24, 2025
- Employees · 15 to 14Mar 21, 2024 to Mar 24, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 24, 2025
- HQ state · unset to Mar 21, 2024 to Mar 24, 2025
- Private funds · 2 to 1Mar 21, 2024 to Mar 24, 2025
- Discretionary RAUM · $766M to $577MMar 21, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $713M to $577MMar 21, 2024 to Mar 24, 2025
- RAUM · $766M to $577MMar 21, 2024 to Mar 24, 2025
- Accounts · 9 to 8Mar 29, 2023 to Mar 21, 2024
- Advisory employees · 5 to 7Mar 29, 2023 to Mar 21, 2024
- Employees · 12 to 15Mar 29, 2023 to Mar 21, 2024
- Private funds · 3 to 2Mar 29, 2023 to Mar 21, 2024
- Discretionary RAUM · $1.1B to $766MMar 29, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $1.0B to $713MMar 29, 2023 to Mar 21, 2024
- RAUM · $1.1B to $766MMar 29, 2023 to Mar 21, 2024
- Accounts · 10 to 9Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 3 to 5Mar 29, 2022 to Mar 29, 2023
- Pooled vehicle clients · 6 to 7Mar 29, 2022 to Mar 29, 2023
- Employees · 7 to 12Mar 29, 2022 to Mar 29, 2023
- Organization form · Corporation to Other (specify)Mar 29, 2022 to Mar 29, 2023
- Private funds · 2 to 3Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.2B to $1.1BMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $889M to $1.0BMar 29, 2022 to Mar 29, 2023
- RAUM · $1.2B to $1.1BMar 29, 2022 to Mar 29, 2023
- Accounts · 7 to 10Sep 16, 2020 to Mar 29, 2022
- Advisory employees · 1 to 3Sep 16, 2020 to Mar 29, 2022
- Employees · 5 to 7Sep 16, 2020 to Mar 29, 2022
- Discretionary RAUM · $476M to $1.2BSep 16, 2020 to Mar 29, 2022
- Pooled vehicle RAUM · $419M to $889MSep 16, 2020 to Mar 29, 2022
- RAUM · $476M to $1.2BSep 16, 2020 to Mar 29, 2022
Signals
4 dated events
- W•••••• C•••••• M••••••••• L•••••• reported RAUM $806.3M, up 40% from $576.9M (2025-03-24 to 2026-03-24)Mar 24, 2026 · RAUM change · derived
- W•••••• C•••••• M••••••••• L•••••• reported RAUM $766.3M, down 32% from $1.1B (2023-03-29 to 2024-03-21)Mar 21, 2024 · RAUM change · derived
- W•••••• C•••••• M••••••••• L•••••• reported RAUM $1.2B, up 145% from $475.9M (2020-09-16 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- W•••••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Aug 20, 2020 · 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
- +852 39791800reportedpublic record, Form ADV, Mar 24, 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
- Asset manager (funds and pooled vehicles)deriveda 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