DRAGON FINANCIAL AND INVESTMENT GROUP, INC.
DRAGON FINANCIAL AND INVESTMENT GROUP, INC. of SAN MATEO, CA is an SEC-registered investment adviser (CRD 157936). Regulatory assets under management: $134.0M.
Registration
- CRD: 157936
- SEC file number: 801-79669
- Type: Registered investment adviser
- Location: 1700 S. EL CAMINO REAL #501, SAN MATEO, CA, 94402
- Phone: 650-571-8888
- Latest filing: 2015-09-15
- Regulatory AUM: $134.0M
- Discretionary AUM: $134.0M
- Clients: 17
- Accounts: 911
Officers, owners & control persons (3)
| Name | Role | Location |
|---|
| CHAO WALTER RAE | MANAGING MEMBER; PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| MAH JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| DINGLER NATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | — |
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