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
H••••••• C•••••• M••••••••• L••••••
Latest filing May 11, 2026
First filing on the tape Nov 27, 2024 · 4 filings
SEC status approved since Aug 8, 2025
RAUM
$210M
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
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$210M as of May 11, 2026
Aug 7, 2025$132M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2026
Aug 7, 20250 then
Employees (5.A)6 as of May 11, 2026
Aug 7, 20255 then
Private funds3 as of May 11, 2026
Aug 7, 20253 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 11, 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
- $70.0MderivedRAUM 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 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
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$210M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••••• M••••• F••• | Hedge Fund | $129M | 3 | Nov 27, 2024 |
| H••••••• O••••••• F••••• F••• | Hedge Fund | $83.9M | 54 | Nov 27, 2024 |
| H••••••• F••• I• O•• | Hedge Fund | $0 | 14 | Nov 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- L•• A•••• Q• · Chief Investment Officercontrolsince 03/2022 · owns less than 5%
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
- Discretionary RAUM · $210M to $210MApr 1, 2026 to May 11, 2026
- Pooled vehicle RAUM · $210M to $210MApr 1, 2026 to May 11, 2026
- RAUM · $210M to $210MApr 1, 2026 to May 11, 2026
- Advisory activities · 2 to 3Aug 7, 2025 to Apr 1, 2026
- BD registered reps · 5 to 0Aug 7, 2025 to Apr 1, 2026
- Employees · 5 to 6Aug 7, 2025 to Apr 1, 2026
- Discretionary RAUM · $132M to $210MAug 7, 2025 to Apr 1, 2026
- Pooled vehicle RAUM · $132M to $210MAug 7, 2025 to Apr 1, 2026
- RAUM · $132M to $210MAug 7, 2025 to Apr 1, 2026
- Financial planning clients · unset to Nov 27, 2024 to Aug 7, 2025
- HQ state · unset to Nov 27, 2024 to Aug 7, 2025
Signals
1 dated events
- H••••••• C•••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)Nov 27, 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
- Principal office phone
- +852 2639 9033reportedpublic record, Form ADV, May 11, 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