DFX Intelligence
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SEC-registered adviser
A•••• S••••• P••••••••• L••••••
Legal name A•••• S••••• P••••••• ••• L••••••
Latest filing Jun 15, 2026
First filing on the tape Nov 2, 2023 · 6 filings
SEC status approved since Jan 2, 2024
RAUM
$2
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
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$2 as of Jun 15, 2026
May 17, 2024$185M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 15, 2026
May 17, 20240 then
Employees (5.A)2 as of Jun 15, 2026
May 17, 20241 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 15, 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
- $2derivedRAUM 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
- unknownderived2 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
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 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
- M••••••••• K•••• · Chief Investment Officercontrolsince 04/2023 · owns 75% or more
- W•••••••• N•••••••• I•• · Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
Related persons
Schedule D 7.A
- A•••• S••••• P••••••• L••investment advisernRAUM $189M
Offices
Schedule D 1.F, the 25 largest
- Hong Kong, Hong Kong1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $159M to $2Nov 18, 2025 to Jun 15, 2026
- RAUM · $159M to $2Nov 18, 2025 to Jun 15, 2026
- Employees · 1 to 2May 17, 2024 to Jun 17, 2025
- Financial planning clients · unset to May 17, 2024 to Jun 17, 2025
- HQ state · unset to May 17, 2024 to Jun 17, 2025
- Legal name · A•••• S••••• P••••••••• L•••••• to A•••• S••••• P••••••• ••• L••••••May 17, 2024 to Jun 17, 2025
- Discretionary RAUM · $185M to $159MMay 17, 2024 to Jun 17, 2025
- RAUM · $185M to $159MMay 17, 2024 to Jun 17, 2025
- Related adviser · true to falseMay 17, 2024 to Jun 17, 2025
- Accounts · 0 to 1Jan 11, 2024 to May 17, 2024
- Other offices · 0 to 1Jan 11, 2024 to May 17, 2024
- Discretionary RAUM · $0 to $185MJan 11, 2024 to May 17, 2024
- RAUM · $0 to $185MJan 11, 2024 to May 17, 2024
Signals
4 dated events
- A•••• S••••• P••••••••• L•••••• reported RAUM $2, down 100% from $158.6M (2025-11-18 to 2026-06-15)Jun 15, 2026 · RAUM change · derived
- Nick Illsley (Chief Compliance Officer) no longer on Schedule A of A•••• S••••• P••••••••• L•••••• (listed 2024-01-11, absent 2024-05-17)May 17, 2024 · Control person left · inference
- Ian N••••••• W••••••• (Chief Compliance Officer) appeared on Schedule A of A•••• S••••• P••••••••• L••••••May 17, 2024 · Control person joined · fact
- A•••• S••••• P••••••••• L•••••• filed its initial SEC registration (Form ADV)Nov 2, 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••••-S•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +85266097626reportedpublic record, Form ADV, Jun 15, 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
- Other adviserderiveda 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