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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••••••• • A••••••••• L••

CRD 107449

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Search this name across graphsid dfx:ria:32b073e0-6b39-a966-ad8e-096366ced3b2

Data as of Mar 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 0
Observed: Jan 13, 2012 to Mar 11, 2026
21 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.69 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $267MItem 5.F on the latest filing (2026-03-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $267M
Private client RAUM: $185MderivedItem 5.D individuals plus high net worth individuals
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
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
B•••• C••• B••••••	Certified Financial Planner	Austin, TX \| HONOLULU, HI	14	18	2	no
N•••• M•••• K•••••••••	Chartered Financial Analyst	HONOLULU, HI	8	27

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
B••••••• B•••••••• J•••••	Director	Na	yes	07/2006	Jan 13, 2012	Mar 26, 2024
B••••••• B••••• C•••	DIRECTOR / SR. VICE PRESIDENT	B	yes	03/2012	Jan 13, 2012

Offices

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

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	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	$267M	$213M	25.3%	$179M	14.2%	5	5	1	1

Relationships

Registered with (5)

← C•••••• M•••••••• B••••••Advisorregistration: current employment
Mar 23, 2018 to presentfactForm ADV
← N•••• M•••• K•••••••••Advisorregistration: current employment
Mar 21, 2018 to presentfactForm ADV
← MAX C••••••• O••••Advisorregistration: current employment
Mar 21, 2018 to presentfactForm ADV
← B•••• C••• B••••••

Dated events

Occurred
Mar 8, 2023
Control person left
Debra Chun (Sr. V.P./Secretary) no longer on Schedule A of C••••••••• • A••••••••• L•• (listed 2022-03-14, absent 2023-03-08)
Form ADVobserved 6 days ago
Occurred
Feb 13, 2018
Regulatory AUM changed
C••••••••• • A••••••••• L•• reported RAUM $165.5M, down 67% from $505.3M (2017-03-24 to 2018-02-13)
Form ADVobserved 6 days ago
$-340M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:32b073e0-6b39-a966-ad8e-096366ced3b2
First observed: Jan 13, 2012
Last observed: Mar 11, 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.

2025	Mar 11, 2026	$267M	$267M	5	4	1	n/a	n/a
2024	Mar 14, 2025	$213M	$213M	5	4	1	n/a	n/a
2023	Feb 29, 2024	$186M	$186M	5	4	1	n/a	n/a
2022	Mar 8, 2023	$179M	$179M	5	4	1	n/a	n/a
2021	Mar 14, 2022	$221M	$221M	5	5	1	n/a	n/a
2020	Mar 31, 2021	$186M	$186M	5	5	1	n/a	n/a
2019	Mar 26, 2020	$178M	$178M	5	5	1	n/a	n/a
2018	Feb 13, 2019	$147M	$147M	5	5	1	n/a	n/a
2017	Feb 13, 2018	$166M	$166M	5	5	1	n/a	n/a
2016	Mar 24, 2017	$505M	$505M	5	5	n/a	n/a	n/a
2015	Mar 24, 2016	$485M	$485M	5	5	n/a	n/a	n/a
2014	Mar 20, 2015	$485M	$485M	5	5	n/a	n/a	n/a
2013	Apr 30, 2014	$447M	$447M	5	5	n/a	n/a	n/a
2012	Apr 1, 2013	$323M	$323M	5	5	n/a	n/a	n/a
2011	Mar 30, 2012	$283M	$283M	n/a	n/a	n/a	n/a	n/a