E•••• F•••••

Advisor at A••••••••• F•••••••• S•••••••• L••

KAILUA KONA, HI | Kalua Kona, HI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:419cba89-4143-4ebf-c443-874836e7802c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 31, 2003 to Sep 14, 2026

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

Current firm: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: Mar 27, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 6

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Aug 6, 2021	n/a	yes	KAILUA KONA, HI\|Kalua Kona, HI	Current employment
B••••• A•••••••	Former SEC adviser	Sep 4, 2019	May 21, 2021	no	KAILUA-KONA, HI\|HILO, HI\|KAMUELA, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• A•••••••	A••••••••• F•••••••• S•••••••• L••	May 21, 2021	Aug 6, 2021	77	Firm change	RIA to ibd
L•• F•••••••• L••	B••••• A•••••••	Jul 24, 2019	Sep 4, 2019

Team moves

••• Locked

Team	Left	Joined	From	Kind
105644:6413:HI:2017-11-21	Nov 21, 2017	Nov 20, 2017	KAILUA KONA, HI	Firm change
6413:105644:HI:2017-04-27	Apr 27, 2017	Apr 18, 2017	HILO, HI	Firm change

Relationships

Registered with (6)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Aug 6, 2021 to presentfactForm ADV
→ B••••• A•••••••Registered adviserregistration: previous registration
Sep 4, 2019 to May 21, 2021factForm ADV
→ L•• F•••••••• L••Registered adviserregistration: previous registration
Nov 20, 2017 to Jul 24, 2019factForm ADV
→ C••••• I••••••••• A••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:419cba89-4143-4ebf-c443-874836e7802c
First observed: Mar 31, 2003
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed 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.