DFX Intelligence
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SEC-registered adviser
B•••••••• A•••• M••••••••• C•••••• L••••••
Latest filing Mar 30, 2026
First filing on the tape Mar 22, 2021 · 7 filings
SEC status approved since May 24, 2021
RAUM
$8.4M
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
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$8.4M as of Mar 30, 2026
Apr 1, 2022$615M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Apr 1, 20220 then
Employees (5.A)6 as of Mar 30, 2026
Apr 1, 20228 then
Private funds: no history
RAUM +148% over the last fiscal year-30% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $2.8MderivedRAUM 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
- +148%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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
- Pooled investment vehicles$8.4M100%
- 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 AUM, fixed, 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• L••••• · Chief Executive Officer, Director, Shareholdercontrolsince 08/2018 · owns 75% or more
- G••• N••• · Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- W•• W••••• · Chief Compliance Officercontrolsince 08/2018 · 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.
What changed
consecutive filings, newest first
- Employees · 8 to 6Apr 2, 2025 to Mar 30, 2026
- Discretionary RAUM · $3.4M to $8.4MApr 2, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.4M to $8.4MApr 2, 2025 to Mar 30, 2026
- RAUM · $3.4M to $8.4MApr 2, 2025 to Mar 30, 2026
- Accounts · 4 to 3Apr 3, 2024 to Apr 2, 2025
- Pooled vehicle clients · 4 to 3Apr 3, 2024 to Apr 2, 2025
- Financial planning clients · unset to Apr 3, 2024 to Apr 2, 2025
- HQ state · unset to Apr 3, 2024 to Apr 2, 2025
- Discretionary RAUM · $24.0M to $3.4MApr 3, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $4.0M to $0Apr 3, 2024 to Apr 2, 2025
- Pooled vehicle RAUM · $28.0M to $3.4MApr 3, 2024 to Apr 2, 2025
- RAUM · $28.0M to $3.4MApr 3, 2024 to Apr 2, 2025
- Accounts · 3 to 4Apr 4, 2023 to Apr 3, 2024
- Pooled vehicle clients · 3 to 4Apr 4, 2023 to Apr 3, 2024
- Non-discretionary RAUM · $0 to $4.0MApr 4, 2023 to Apr 3, 2024
- Pooled vehicle RAUM · $24.0M to $28.0MApr 4, 2023 to Apr 3, 2024
- RAUM · $24.0M to $28.0MApr 4, 2023 to Apr 3, 2024
- Accounts · 6 to 3Apr 1, 2022 to Apr 4, 2023
- Pooled vehicle clients · 6 to 3Apr 1, 2022 to Apr 4, 2023
- Discretionary RAUM · $615M to $24.0MApr 1, 2022 to Apr 4, 2023
- Pooled vehicle RAUM · $615M to $24.0MApr 1, 2022 to Apr 4, 2023
- RAUM · $615M to $24.0MApr 1, 2022 to Apr 4, 2023
- Accounts · 5 to 6Apr 7, 2021 to Apr 1, 2022
- Pooled vehicle clients · 5 to 6Apr 7, 2021 to Apr 1, 2022
- Discretionary RAUM · $520M to $615MApr 7, 2021 to Apr 1, 2022
- Pooled vehicle RAUM · $520M to $615MApr 7, 2021 to Apr 1, 2022
- RAUM · $520M to $615MApr 7, 2021 to Apr 1, 2022
Signals
2 dated events
- ••• LockedApr 4, 2023 · RAUM change · derived
- ••• LockedMar 22, 2021 · 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 36517157reportedpublic record, Form ADV, Mar 30, 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