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.
Former SEC-registered adviser
Sun Global LLC
Latest filing Mar 27, 2024
First filing on the tape Mar 1, 2024 · 3 filings
RAUM
$2.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.3M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$458,472
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$2.3M as of Mar 27, 2024
Mar 1, 2024$2.6M then
HNW client RAUM$2.0M as of Mar 27, 2024
Mar 14, 2024$2.0M then
State-registered IARs (5.B.3)1 as of Mar 27, 2024
Mar 1, 20241 then
Employees (5.A)1 as of Mar 27, 2024
Mar 1, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $458,472derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 2derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $341,647derivedHNW RAUM over HNW clients
- Average account
- $143,272derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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
- High-net-worth individuals$2.0M89%
- Individuals$242,47611%
- Individual clients
- 2reported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Yongsheng Xu | King Of Prussia, Pa | Jul 29, 2022 | 19 y | 0 |
| Qin Zhang | King Of Prussia, Pa | Jul 30, 2024 | 11 y | 0 |
| Ning Tang | King Of Prussia, Pa | Jan 23, 2026 | 10 y | 0 |
| Lin Fei | King Of Prussia, Pa | Apr 6, 2026 | 26 y | 0 |
| Yongyi Fan | King Of Prussia, Pa | Jun 3, 2026 | 28 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Yu Zhang to Transglobal Advisory, LLCMar 28, 2025 · RIA to RIA
Joined, latest
- Yongyi Fan from Tlg Advisors, Inc.Jun 3, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Yongsheng Xu · Managing Member & Chief Compliance Officercontrolsince 10/2021 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| King Of Prussia, Pa · principal | 5 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 16Mar 1, 2024 to Mar 14, 2024
- Corporate clients · 1.0 to unsetMar 1, 2024 to Mar 14, 2024
- HNW clients · unset to 6.0Mar 1, 2024 to Mar 14, 2024
- Individual clients · 9 to 2Mar 1, 2024 to Mar 14, 2024
- Discretionary RAUM · $2.6M to $2.3MMar 1, 2024 to Mar 14, 2024
- HNW RAUM · unset to 2049883.0Mar 1, 2024 to Mar 14, 2024
- Individual RAUM · $2.3M to $242,476Mar 1, 2024 to Mar 14, 2024
- RAUM · $2.6M to $2.3MMar 1, 2024 to Mar 14, 2024
Signals
2 dated events
- Yu Zhang left Sun Global Llc for Transglobal Advisory, Llc (registered 2026-03-25)Mar 28, 2025 · Advisor changed firm · fact
- Sun Global Llc filed its initial SEC registration (Form ADV)Mar 1, 2024 · 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
- Website
- sgc.gurureportedpublic record, Form ADV, Sep 17, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $458,472derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026