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C•••••• • C• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••••• • C• L••

CRD 108135

HONOLULU, HI

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Search this name across graphsid dfx:ria:1ca1f5ca-5993-7fb6-5e27-6358503bdde8

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 12
On other graphs: 1
Observed: Feb 1, 2012 to Mar 24, 2026
49 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C•••••• • C• L••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.93 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.1BItem 5.F on the latest filing (2026-03-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $1.0BderivedItem 5.D individuals plus high net worth individuals
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••• P•••••• L••••	n/a	HONOLULU, HI	26	43	n/a	no
B•••••• F•••• T•••••••	n/a	HONOLULU, HI	26	37

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• A••••••••• C•••	Member	E	yes	12/2006	Mar 24, 2026	Mar 24, 2026
C•••••• P•••••••	Member	B	yes	06/2000	Mar 24, 2026

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Honolulu	Hi	United States	2	no
PARK CITY	Ut	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.1B	$1.1B	4.5%	$931M	6.4%	19	19	3	3

Relationships

Registered with (10)

← M•••••• L•••• D••••••••Advisorregistration: current employment
Mar 1, 2022 to presentfactForm ADV
← S••••• S••••• K••••Advisorregistration: current employment
May 22, 2018 to presentfactForm ADV
← K••••••••• K••••••• C•••••••••Advisorregistration: previous registration
Jan 11, 2002 to Oct 24, 2006factForm ADV
← R•••• L••• M•••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 27, 2023
Control person left
Antonio Victor Canto (Chief Economist And Global Strategist) no longer on Schedule A of C•••••• • C• L•• (listed 2022-08-31, absent 2023-01-27)
Form ADVobserved 6 days ago
Occurred
Jan 27, 2023
Control person left
De Los Angeles Victoria Canto-Ponce (Director Of Business Development & Client Services) no longer on Schedule A of C•••••• • C• L•• (listed 2022-08-31, absent 2023-01-27)
Form ADVobserved 6 days ago
Occurred
Mar 31, 2022
Regulatory AUM changed
C•••••• • C• L•• reported RAUM $1.0B, down 54% from $2.3B (2021-11-26 to 2022-03-31)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ca1f5ca-5993-7fb6-5e27-6358503bdde8
First observed: Feb 1, 2012
Last observed: Mar 24, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.