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.
SEC-registered adviser
P•••••••• A•••• M••••••••• •••••
Legal name P•••••••• A•••• M••••••••• C•••••• ••••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Jun 22, 2022 · 14 filings
SEC status approved since Jul 22, 2022
RAUM
$14B
reported, Item 5.F
Discretionary
94%
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
39
30 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2026
Mar 29, 2023$14B then
HNW client RAUM$0 as of Mar 31, 2026
Mar 29, 2023$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20230 then
Employees (5.A)39 as of Mar 31, 2026
Mar 29, 202315 then
Private funds: no history
RAUM +6.0% over the last fiscal year+0.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $411MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 4.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%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 vehicles, selection of other advisersreportedItem 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
- 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)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$11B80%
- Banks and thrifts$2.0B14%
- Pension and profit-sharing plans$384M2.7%
- Sovereign wealth funds$243M1.7%
- Investment companies$222M1.5%
- Corporations and businesses$50.3M0.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 35reported
- 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=0.81 institutional_share=0.04 related_bd=true related_bank=true 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
- C••••• D••••• H• Y•• · Directorcontrolsince 06/2021 · owns less than 5%
- C•••• S••••• P• S•• · Chief Executive Officercontrolsince 03/2023 · owns less than 5%
- D••••••••• G••••• · G•••••• Counselcontrolsince 11/2023 · owns less than 5%
- E•••••••• R••••••••• A••••••••• E•••• · Directorcontrolsince 06/2021 · owns less than 5%
- L••••• J•••••• T••••• · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- S••••• P••••••• H••••• H••••••• · Officercontrolsince 06/2015 · owns less than 5%
- S••••• R••• K•••• · Directorcontrolsince 08/2024 · owns less than 5%
- V••••• R•••• · Directorcontrolsince 03/2023 · owns less than 5%
- W•• M••••••• X••••••• · Officercontrolsince 11/2020 · owns less than 5%
- Z••••• R••••• · Directorcontrolsince 03/2023 · owns less than 5%
Entity owners
- P•••••••• I••••••••• ••••• L•••••• · Sole S•••••••••direct · owns 75% or more
- P•••••••• F•••••••• G••••• I•• · Sole S•••••••••indirect · owns 75% or more of P•••••••• F•••••••• S••••••• I•• · public reporting company
- P•••••••• F•••••••• S••••••• I•• · Sole S•••••••••indirect · owns 75% or more of P•••••••• I••••••••• L••
- P•••••••• I••••••••• L•• · Sole S•••••••••indirect · owns 75% or more of P•••••••• I••••••••• ••••• L••••••
Related persons
Schedule D 7.A
- B••••••••• S•••••• E• P••••••••• S•••real estaten
- C••••••• A••••••••• D• R••••••• L••••pooled vehicle sponsorn
- C••••••• I••••••••• L••investment adviserpooled vehicle sponsorn
- D••••••• C•••••• G•••••••• • T•••• C••••••n
- D••••••••• D••••• S•••••••• I••• A• N••••• C•••• C•••••••••real estaten
- E•••••••• D••••• S•••••••• I•••real estaten
- E••••• F•• L•••broker-dealern
- F•••• D••••• H•••••real estaten
- P•••••••• O•••••investment adviserpooled vehicle sponsornRAUM $4.6B
- P••••• A••••••••• L••n
- P••• A••••••• G••••• L••investment adviserbankpooled vehicle sponsornRAUM $13B
- P•••••••• A••••••••• G•••••• D• F••••• S•••pooled vehicle sponsorn
- P•••••••• A•••••• S•••••••investment advisernRAUM $1.4B
- P•••••••• A••••• S••• D• C•••• P•••••••• G•••• F•••••••••real estaten
- P•••••••• A••••• E• I••••••••• S•••investment advisern
- P•••••••• A•••• M••••••••• •• P•• L••••••pooled vehicle sponsorn
- P•••••••• A•••• M••••••••• B•••••pooled vehicle sponsorn
- P•••••••• A•••• M••••••••• C•••••• L•••••• •••••••••pooled vehicle sponsorn
- P•••••••• B•••n
- P•••••••• C••••••• D• S•••••• D• V••• C•••• S•••real estaten
- P•••••••• D••••• S•••••••• I•••real estaten
- P•••••••• F•••••••• G••••• I•••real estatey
- P•••••••• F•••••••• S•••••••• I•••real estatey
- P•••••••• F••••• D• I••••••••• S••• D• C•••• O•••••••• D• F••••• D• I••••••••• P•••••••• G•••• F•••••••••pooled vehicle sponsorn
- P•••••••• F•••• D••••••••• I•••broker-dealern
- P•••••••• G••••• I•••••••• ••••••••• L••••••investment advisern
- P•••••••• G••••• I•••••••• ••••••• L••••••investment advisern
- P•••••••• G••••• I•••••••• •••• K•••• L••••••investment advisern
- P•••••••• G••••• I•••••••• •••••••• L••••••investment adviserpooled vehicle sponsorn
- P•••••••• G••••• I•••••••• •••••• L••investment adviserpooled vehicle sponsorn
Advisers that list P•••••••• A•••• M••••••••• ••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Wanchai, Hong Kong
What changed
consecutive filings, newest first
- Accounts · 43 to 35Sep 18, 2025 to Mar 31, 2026
- Charity clients · 1 to 0Sep 18, 2025 to Mar 31, 2026
- Pension plan clients · 14 to 8Sep 18, 2025 to Mar 31, 2026
- Financial planning clients · 0 to Sep 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $13B to $14BSep 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $821M to $822MSep 18, 2025 to Mar 31, 2026
- Pension RAUM · $638M to $384MSep 18, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $9.7B to $11BSep 18, 2025 to Mar 31, 2026
- RAUM · $14B to $14BSep 18, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Sep 18, 2025
- Accounts · 47 to 43Sep 5, 2024 to Mar 31, 2025
- Advisory employees · 35 to 30Sep 5, 2024 to Mar 31, 2025
- Pension plan clients · 15 to 14Sep 5, 2024 to Mar 31, 2025
- Pooled vehicle clients · 20 to 14Sep 5, 2024 to Mar 31, 2025
- Employees · 41 to 39Sep 5, 2024 to Mar 31, 2025
- HQ state · unset to Sep 5, 2024 to Mar 31, 2025
- Discretionary RAUM · $12B to $13BSep 5, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $639M to $821MSep 5, 2024 to Mar 31, 2025
- Pension RAUM · $632M to $638MSep 5, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.3B to $9.7BSep 5, 2024 to Mar 31, 2025
- RAUM · $12B to $14BSep 5, 2024 to Mar 31, 2025
- Accounts · 53 to 47Nov 3, 2023 to Mar 27, 2024
- Advisory employees · 9 to 35Nov 3, 2023 to Mar 27, 2024
- Corporate clients · 2 to 1Nov 3, 2023 to Mar 27, 2024
- Pension plan clients · 14 to 15Nov 3, 2023 to Mar 27, 2024
- Pooled vehicle clients · 30 to 20Nov 3, 2023 to Mar 27, 2024
- Employees · 15 to 41Nov 3, 2023 to Mar 27, 2024
- Discretionary RAUM · $13B to $12BNov 3, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $668M to $639MNov 3, 2023 to Mar 27, 2024
- Pension RAUM · $597M to $632MNov 3, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $11B to $9.3BNov 3, 2023 to Mar 27, 2024
- RAUM · $14B to $12BNov 3, 2023 to Mar 27, 2024
- Accounts · 28 to 53Nov 14, 2022 to Mar 29, 2023
- Charity clients · unset to 1.0Nov 14, 2022 to Mar 29, 2023
- Corporate clients · 0 to 2Nov 14, 2022 to Mar 29, 2023
- Pension plan clients · 11 to 14Nov 14, 2022 to Mar 29, 2023
- Pooled vehicle clients · 14 to 30Nov 14, 2022 to Mar 29, 2023
- HQ city · KWUN TONG, KOWLOON to WANCHAINov 14, 2022 to Mar 29, 2023
- Other offices · 0 to 1Nov 14, 2022 to Mar 29, 2023
- Discretionary RAUM · $11B to $13BNov 14, 2022 to Mar 29, 2023
Signals
9 dated events
- K•••• Raj S•••• (Director) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Sep 5, 2024 · Control person joined · fact
- Kirk Kenneth West (Director) no longer on Schedule A of P•••••••• A•••• M••••••••• ••••• (listed 2024-03-27, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- George Djurasovic (General Counsel) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Nov 1, 2023 · Control person joined · fact
- Po Slu S•••• C••• (Chief Executive Officer) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Mar 29, 2023 · Control person joined · fact
- Rohit Vohra (Director) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Mar 29, 2023 · Control person joined · fact
- R••••• Z•••• (Director) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Mar 29, 2023 · Control person joined · fact
- John Andrew Donohue (Chief Compliance Officer) no longer on Schedule A of P•••••••• A•••• M••••••••• ••••• (listed 2022-06-29, absent 2022-10-10)Oct 10, 2022 · Control person left · inference
- T••••• J••••• L•••• (Chief Compliance Officer) appeared on Schedule A of P•••••••• A•••• M••••••••• •••••Oct 10, 2022 · Control person joined · fact
- P•••••••• A•••• M••••••••• C•••••• ••••• L•••••• filed its initial SEC registration (Form ADV)Jun 22, 2022 · ria f•••• adv filing · 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
- Firm profile
- linkedin.com/company/principalhongkong/posts/?feedView=allreportedpublic record, Form ADV, Sep 18, 2026
- Website
- principal.com.hkreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 852-2827-1628reportedpublic record, Form ADV, Mar 31, 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