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O••••••• C•••••• M••••••••• L••

Independent wealth managerSEC-registered· Jing An District, Shanghaiwebsite

Independent wealth manager, based in Jing An District, Shanghai, reporting $13.6M of regulatory assets.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $13.6M
Advisors: 0
RAUM change, 1 year: +57%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+57.1%
RAUM, one year
RAUM $8.64M to $13.6M (+57.1%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 318243 · SEC 801-123165 · 8 filingsShow

CRD 318243SEC 801-123165First filing on the tape Jan 5, 2022, latest Mar 30, 2026SEC status approved since Feb 4, 2022IAPD

RAUM

$13.6M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$13.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM +59% a year over three years · the tape starts Jan 5, 2022

Peer group: Independent wealth managers, under $100M, 669 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$13.6M as of Mar 30, 2026

Mar 29, 2023$3.4M then

HNW client RAUM$8.3M as of Mar 30, 2026

Mar 29, 2023$2.2M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 29, 20230 then

Employees (5.A)3 as of Mar 30, 2026

Mar 29, 20232 then

Private funds: no history

RAUM +57% over the last fiscal year+59% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2026; every figure names its basis

Archetypes

HNW wealth manager

The rule behind each archetype, and every derived figure1 ruleShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent

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: $641,921derivedHNW RAUM over HNW clients
Average account: $205,580derivedRAUM 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 office incl. principal (1.F.5)
RAUM growth, one year: +57%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +16%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
receives research or other products from a broker-dealer, soft dollars (8.E)

Where the RAUM sits

Form ADV Item 5.D, latest filing

62% high-net-worth individuals, 38% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$8.3M62%
Individuals$5.2M38%

Individual clients: 24reported
HNW clients: 13reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 66reported
Financial planning clients: reported
Wrap fee programs: noreported
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 bank; no bank ownerderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every 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

O••••• S••• R•••••• J•••• · Managing Member & Chief Compliance Officercontrol
since 10/2020 · owns 75% or more
L••• H••••• · Administrative Partner
since 10/2020 · owns 5% to 10%

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

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 · 53 to 66
Apr 27, 2025 to Mar 30, 2026
HNW clients · 12 to 13
Apr 27, 2025 to Mar 30, 2026
Individual clients · 20 to 24
Apr 27, 2025 to Mar 30, 2026
Discretionary RAUM · $8.6M to $13.6M
Apr 27, 2025 to Mar 30, 2026
HNW RAUM · $5.3M to $8.3M
Apr 27, 2025 to Mar 30, 2026

Full history · 42 changes

Individual RAUM · $3.3M to $5.2M
Apr 27, 2025 to Mar 30, 2026
RAUM · $8.6M to $13.6M
Apr 27, 2025 to Mar 30, 2026
Accounts · 47 to 53
Mar 17, 2024 to Apr 27, 2025
Advisory employees · 2 to 3
Mar 17, 2024 to Apr 27, 2025
Corporate clients · 1.0 to unset
Mar 17, 2024 to Apr 27, 2025
HNW clients · 9 to 12
Mar 17, 2024 to Apr 27, 2025
Individual clients · 15 to 20
Mar 17, 2024 to Apr 27, 2025
Financial planning clients · unset to
Mar 17, 2024 to Apr 27, 2025
HQ state · unset to
Mar 17, 2024 to Apr 27, 2025
Discretionary RAUM · $8.0M to $8.6M
Mar 17, 2024 to Apr 27, 2025
HNW RAUM · $5.0M to $5.3M
Mar 17, 2024 to Apr 27, 2025
Individual RAUM · $2.4M to $3.3M
Mar 17, 2024 to Apr 27, 2025
RAUM · $8.0M to $8.6M
Mar 17, 2024 to Apr 27, 2025
Accounts · 22 to 47
Mar 29, 2023 to Mar 17, 2024
Advisory employees · 1 to 2
Mar 29, 2023 to Mar 17, 2024
HNW clients · 11 to 9
Mar 29, 2023 to Mar 17, 2024
Individual clients · 6 to 15
Mar 29, 2023 to Mar 17, 2024
Employees · 2 to 3
Mar 29, 2023 to Mar 17, 2024
Discretionary RAUM · $3.4M to $8.0M
Mar 29, 2023 to Mar 17, 2024
HNW RAUM · $2.2M to $5.0M
Mar 29, 2023 to Mar 17, 2024
Individual RAUM · $744,100 to $2.4M
Mar 29, 2023 to Mar 17, 2024
RAUM · $3.4M to $8.0M
Mar 29, 2023 to Mar 17, 2024
Accounts · 12 to 22
Aug 30, 2022 to Mar 29, 2023
Corporate clients · unset to 1.0
Aug 30, 2022 to Mar 29, 2023
HNW clients · unset to 11.0
Aug 30, 2022 to Mar 29, 2023
Individual clients · 12 to 6
Aug 30, 2022 to Mar 29, 2023
Discretionary RAUM · $4.3M to $3.4M
Aug 30, 2022 to Mar 29, 2023
HNW RAUM · unset to 2196125.0
Aug 30, 2022 to Mar 29, 2023
Individual RAUM · $4.3M to $744,100
Aug 30, 2022 to Mar 29, 2023
RAUM · $4.3M to $3.4M
Aug 30, 2022 to Mar 29, 2023
HNW clients · 2.0 to unset
Jan 5, 2022 to Apr 13, 2022
Individual clients · 10 to 12
Jan 5, 2022 to Apr 13, 2022
HQ city · unset to JING AN DISTRICT, SHANGHAI
Jan 5, 2022 to Apr 13, 2022
Discretionary RAUM · $4.5M to $4.3M
Jan 5, 2022 to Apr 13, 2022
HNW RAUM · 900000.0 to unset
Jan 5, 2022 to Apr 13, 2022
Individual RAUM · $3.6M to $4.3M
Jan 5, 2022 to Apr 13, 2022
RAUM · $4.5M to $4.3M
Jan 5, 2022 to Apr 13, 2022

Signals

1 dated events

••• Locked
Jan 5, 2022 · 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

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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.