DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

K••••••• • C• L••

CRD 107053

HONOLULU, HI

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Search this name across graphsid dfx:ria:528d4ded-6d9d-0116-45e9-0f80ddb23826

Data as of Mar 16, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 16, 2016
5 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $155M••• Locked
Discretionary RAUM: $147M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••••• S••••• T••••	Member	E	yes	01/1998	Mar 21, 2012	Mar 16, 2016
M••••• M•••• F•••••• K• M•	CHIEF COMPLIANCE OFFICER	Na	no	09/2004	Mar 21, 2012	Mar 16, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 16, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$155M	$155M	0.0%	$145M	2.4%	4	4	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••••• A•••••••• L••	2	Dec 21, 2016	Sep 30, 2016	HONOLULU, HI	Team lift out	Other	100.0%

Relationships

Owns (1)

← M••••• M•••• F•••••• K• M•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV

Controls (1)

← K•••••••• S••••• T••••OwnerMEMBER, ownership code E, domestic entity
Mar 21, 2012 to presentfactForm ADV

Registered with (2)

← S•••• T•••• K•••••••Advisorregistration: previous registration
Apr 16, 2003 to Dec 21, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:528d4ded-6d9d-0116-45e9-0f80ddb23826
First observed: Mar 21, 2012
Last observed: Mar 16, 2016 128 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.