DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C•••••• A•••• M••••••••• ••• L••••••
Latest filing Mar 31, 2026
First filing on the tape Feb 16, 2024 · 6 filings
SEC status approved since Mar 15, 2024
RAUM
$5.9B
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
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$5.9B as of Mar 31, 2026
Mar 25, 2024$4.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 25, 20240 then
Employees (5.A)5 as of Mar 31, 2026
Mar 25, 20246 then
Private funds: no history
RAUM +9.6% over the last fiscal yearIARs 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
- $733MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 48%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
- +9.6%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.0B, 6 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B52%
- State and municipal entities$2.8B48%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 8reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.0B for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.52 institutional_share=0.48 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
- H•••• F•••••••• J•••• · Chief Compliance Officer, Chief Executive Officer, Directorcontrolsince 03/2022 · owns less than 5%
- L•••••• R••••• · Director, Shareholdercontrolsince 02/2023 · owns less than 5%
- K••• K••• C•••• · Shareholdercontrolsince 03/2022 · owns 75% or more of C•••••• H••••••• L••••••
Entity owners
- C•••••• I••••••••• L•••••• · Shareholderdirect · owns 75% or more
- C•••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• L••••••
Related persons
Schedule D 7.A
- C•••••• A•••• M••••••••• ••••••••• P••• L•••investment advisernRAUM $5.9B
- C•••••• A•••• M••••••••• L••••••investment adviserbanknRAUM $5.9B
Advisers that list C•••••• A•••• M••••••••• ••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Hong Kong, Hong Kong7 employees
- S••••••••, Singapore2 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Sep 8, 2025 to Mar 31, 2026
- Assets in custody · $2.4B to $2.0BSep 8, 2025 to Mar 31, 2026
- Employees · 6 to 5Sep 8, 2025 to Mar 31, 2026
- Discretionary RAUM · $5.4B to $5.9BSep 8, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $3.2B to $3.1BSep 8, 2025 to Mar 31, 2026
- RAUM · $5.4B to $5.9BSep 8, 2025 to Mar 31, 2026
- Advisory employees · 5 to 4Mar 25, 2024 to Mar 31, 2025
- Pooled vehicle clients · 5 to 6Mar 25, 2024 to Mar 31, 2025
- Assets in custody · $2.1B to $2.4BMar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- HQ state · unset to Mar 25, 2024 to Mar 31, 2025
- Other offices · 2 to 0Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.1B to $5.4BMar 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $2.7B to $3.2BMar 25, 2024 to Mar 31, 2025
- RAUM · $4.1B to $5.4BMar 25, 2024 to Mar 31, 2025
Signals
2 dated events
- C•••••• A•••• M••••••••• ••• L•••••• reported RAUM $5.4B, up 32% from $4.1B (2024-03-25 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- C•••••• A•••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)Feb 16, 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
- C••••••AM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- +44-2031-785172reportedpublic 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
- 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