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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

LEROY MASASHI KAWAI

Advisor at OSAIC WEALTH, INC.

SOUTH PASADENA, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 2, 2006 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: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Jan 8, 1993
First registration: Jun 2, 2006
Dual registered: yes, broker-dealer
Other names: LEROY M KAWAI
IAPD individual key: 837331

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	n/a	yes	SOUTH PASADENA, CA	Current employment
SIGNATOR INVESTORS, INC.	Former SEC adviser	May 13, 2016	Nov 2, 2018	no	SOUTH PASADENA, CA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Sep 4, 2009	May 13, 2016	no	MONROVIA, CA\|PASADENA, CA	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, INC.	n/a	Jun 2, 2006	Sep 4, 2009	no	MONROVIA, CA\|MONROVIA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Kind	Move type
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	Bulk transfer	Ibd to ibd
TRANSAMERICA FINANCIAL ADVISORS, LLC	SIGNATOR INVESTORS, INC.	May 13, 2016	May 13, 2016	Bulk transfer	Other
TRANSAMERICA FINANCIAL ADVISORS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Sep 4, 2009	Sep 4, 2009	Bulk transfer	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
May 13, 2016 to Nov 2, 2018factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Sep 4, 2009 to May 13, 2016factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Jun 2, 2006 to Sep 4, 2009factForm ADV

Dated events

No dated event names this entity yet.