DFX Intelligence

L••••••• S••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

L••••••• S••

Advisor at C••••• I••••••••• A••••••• L••

AIEA, HI

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Search this name across graphsid dfx:ria:d3f4c6e9-df63-8c86-a056-0b3722ad1bef

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:10 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jan 9, 2009 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: C••••• I••••••••• A••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jan 8, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
C••••• I••••••••• A••••••• L••	Bd affiliated wealth	Aug 7, 2025	n/a	yes	AIEA, HI	Current employment
B••••• A•••••••	Former SEC adviser	Nov 30, 2018	Aug 11, 2025	no	HONOLULU, HI\|HONOLULU, HI\|AIEA, HI\|HONOLULU, HI\|KAMUELA, HI\|HILO, HI\|KAILUA-KONA, HI\|KAILUA-KONA, HI\|KAMUELA, HI\|HILO, HI\|Ewa Beach, HI

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
B••••• A•••••••	C••••• I••••••••• A••••••• L••	Aug 11, 2025	Aug 7, 2025	-4	Firm change	RIA to ibd
J••• M••••• S••••••••• L••	B••••• A•••••••	Sep 13, 2018	Nov 30, 2018

Team moves

••• Locked

Team	Left	Joined	From	Kind
29280:105644:HI:2025-08-08	Aug 11, 2025	Aug 7, 2025	EWA BEACH, HI	Firm change

Relationships

Registered with (6)

→ C••••• I••••••••• A••••••• L••Registered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ B••••• A•••••••Registered adviserregistration: previous registration
Nov 30, 2018 to Aug 11, 2025factForm ADV
→ J••• M••••• S••••••••• L••Registered adviserregistration: previous registration
May 8, 2013 to Sep 13, 2018factForm ADV
→ B••••••• I••••••••• S•••••••• I••• •••••

Dated events

Occurred
Aug 11, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d3f4c6e9-df63-8c86-a056-0b3722ad1bef
First observed: Jan 9, 2009
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.