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.
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SEC-registered adviser
A•••••••• G••••• I••••••••• ••••••••• P••• L•••
Latest filing Mar 25, 2026
First filing on the tape Jan 3, 2023 · 8 filings
SEC status approved since Mar 13, 2023
RAUM
$894M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$894M as of Mar 25, 2026
Mar 28, 2024$664M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2026
Mar 28, 20240 then
Employees (5.A)4 as of Mar 25, 2026
Mar 28, 20245 then
Private funds: no history
RAUM +89% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- $298MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 76%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
- +89%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Sovereign wealth funds$662M74%
- Pooled investment vehicles$214M24%
- State and municipal entities$18.5M2.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.24 institutional_share=0.76 related_bd=false 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•••• T•• S••• · Ceo And Directorcontrolsince 07/2022 · owns less than 5%
- C•••••••• J•••••••• D•••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
- I••••• D••••••• M••••• · Directorcontrolsince 01/2022 · owns less than 5%
- S••••••• A••••• · Directorcontrolsince 01/2022 · owns less than 5%
- L•••• A••••••• J•••••• · Managercontrolsince 08/2024 · owns F of A•••••••• G••••• I••••••••• H•••••••• L••
- S•••••• S•••••• C••••••• · Managercontrolsince 11/2021 · owns F of A•••••••• G••••• I••••••••• H•••••••• L••
- S•••••••• J•••••• A••••• · Managercontrolsince 11/2021 · owns F of A•••••••• G••••• I••••••••• H•••••••• L••
Entity owners
- A•••••••• G••••• I••••••••• H•••••••• L•• · Managing Member, Direct Parent Companydirect · owns 75% or more
- A•••••••• B••••• L•• · Shareholderindirect · owns 75% or more of A•••••••• G••••• I••••••••• H•••••••• L••
- A•••••••• G•••• H•••••••• L•• · Shareholderindirect · owns 75% or more of A•••••••• I••••••••• I• L••
- A•••••••• I••••••••• I• L•• · Shareholderindirect · owns 75% or more of A•••••••• I••••••••• I•• L••
- A•••••••• I••••••••• I•• L•• · Shareholderindirect · owns 75% or more of A•••••••• B••••• L••
- G••• F••• X••••• L• · Shareholderindirect · owns 25% to 50% of A•••••••• G•••• H•••••••• L••
- G••• I••••••••• X••• L•• · General Partnerindirect · owns F of G••• P••••••• X••••• L•
- G••• P••••••• X••••• L• · General Partnerindirect · owns F of G••• F••• X••••• L•
Related persons
Schedule D 7.A
- A•••••••• G••••• I••••••••• •••• K•••• L••••••broker-dealerinvestment advisern
- A•••••••• G••••• I••••••••• ••• L••••••investment adviserbankpooled vehicle sponsornRAUM $31B
- A•••••••• G••••• I••••••••• L••••••••• S•••investment adviserpooled vehicle sponsorn
- A•••••••• G••••• I••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $476B
- G••••••• C•••••• M•••••••••investment adviserbankpooled vehicle sponsornRAUM $80B
Advisers that list A•••••••• G••••• I••••••••• ••••••••• P••• L••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 25, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-07-04, no on the filing of 2026-03-25peers: institutional managers, $500M to $1B (71)
- institutional asset share shiftChange between filings · filing Mar 25, 2026institutional share of RAUM moved from 51.0% to 76.0% between the annual amendments of 2025-03-31 and 2026-03-25peers: institutional managers, $500M to $1B (71)
- RAUM up 50 %Change between filings · filing Mar 25, 2026RAUM (Item 5.F) moved from $474,217,020 to $893,937,610 (+89.0%) between the annual amendments of 2025-03-31 and 2026-03-25; the peer median change was +13.0% (63 comparable advisers, 95.0th percentile of changes)peers: institutional managers, $500M to $1B (63) · 95% percentile
What changed
consecutive filings, newest first
- Pension plan clients · 1.0 to unsetJul 4, 2025 to Mar 25, 2026
- Pooled vehicle clients · 2 to 1Jul 4, 2025 to Mar 25, 2026
- Employees · 5 to 4Jul 4, 2025 to Mar 25, 2026
- Discretionary RAUM · $474M to $894MJul 4, 2025 to Mar 25, 2026
- Pension RAUM · 243169732.0 to unsetJul 4, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $231M to $214MJul 4, 2025 to Mar 25, 2026
- RAUM · $474M to $894MJul 4, 2025 to Mar 25, 2026
- Related broker-dealer · true to falseJul 4, 2025 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 4, 2025
- Accounts · 16 to 3Sep 10, 2024 to Mar 31, 2025
- Pension plan clients · unset to 1.0Sep 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 2Sep 10, 2024 to Mar 31, 2025
- HQ state · unset to Sep 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $664M to $474MSep 10, 2024 to Mar 31, 2025
- Pension RAUM · $391M to $243MSep 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $263M to $231MSep 10, 2024 to Mar 31, 2025
- RAUM · $664M to $474MSep 10, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Sep 29, 2023 to Mar 28, 2024
- Employees · 6 to 5Sep 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $629M to $664MSep 29, 2023 to Mar 28, 2024
- Pension RAUM · $360M to $391MSep 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $270M to $263MSep 29, 2023 to Mar 28, 2024
- RAUM · $629M to $664MSep 29, 2023 to Mar 28, 2024
- Accounts · unset to 16.0Jan 3, 2023 to Jul 7, 2023
- Pooled vehicle clients · unset to 1.0Jan 3, 2023 to Jul 7, 2023
- Employees · 5 to 6Jan 3, 2023 to Jul 7, 2023
- Discretionary RAUM · unset to 629271024.0Jan 3, 2023 to Jul 7, 2023
- Non-discretionary RAUM · unset to 0.0Jan 3, 2023 to Jul 7, 2023
- Pension RAUM · unset to 359691684.0Jan 3, 2023 to Jul 7, 2023
- Pooled vehicle RAUM · unset to 269579340.0Jan 3, 2023 to Jul 7, 2023
- RAUM · unset to 629271024.0Jan 3, 2023 to Jul 7, 2023
Signals
8 dated events
- A•••••••• G••••• I••••••••• ••••••••• P••• L••• reported RAUM $893.9M, up 89% from $474.2M (2025-07-04 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- A•••••••• G••••• I••••••••• ••••••••• P••• L••• reported RAUM $474.2M, down 29% from $663.6M (2024-09-10 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- Festa Molly Mcmillin (Manager) no longer on Schedule A of A•••••••• G••••• I••••••••• ••••••••• P••• L••• (listed 2024-03-28, absent 2024-09-10)Sep 10, 2024 · Control person left · inference
- J•••••• A•••••• L••• (Manager) appeared on Schedule A of A•••••••• G••••• I••••••••• ••••••••• P••• L•••Sep 10, 2024 · Control person joined · fact
- Laikuen Beatrice Woo (Director) no longer on Schedule A of A•••••••• G••••• I••••••••• ••••••••• P••• L••• (listed 2023-09-29, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- F•••••• J••• S•••• C••••••• (Chief Compliance Officer) no longer on Schedule A of A•••••••• G••••• I••••••••• ••••••••• P••• L••• (listed 2023-01-03, absent 2023-07-07)Jul 7, 2023 · Control person left · inference
- D•••• J••••••• C••••••• (Chief Complilance Officer) appeared on Schedule A of A•••••••• G••••• I••••••••• ••••••••• P••• L•••Jul 7, 2023 · Control person joined · fact
- A•••••••• G••••• I••••••••• ••••••••• P••• L••• filed its initial SEC registration (Form ADV)Jan 3, 2023 · 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
- a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (+65) 6016-2583reportedpublic record, Form ADV, Mar 25, 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
- Institutional managerderiveda 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