DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Registered advisor

B•••• T•••• M•••••••

C••••• I••••••••• A••••••• L••BD affiliatedWaipahu Mililani, Hidual registrantIAPD 4130724

Feed of 09/14/2026

At current firm

1 y

since Aug 7, 2025

In the industry

19 y

since Oct 5, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••• I••••••••• A••••••• L•• BD affiliated current
since Aug 7, 2025 · Waipahu Mililani, Hi
B••••• A••••••• former
Oct 2, 2015 to Aug 11, 2025 · Honolulu, Hi
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 5, 2012 to Oct 21, 2015 · Honolulu, Hi
S••••••••• A•••••• A•••••••• I••• former
Apr 15, 2010 to Nov 29, 2012 · Honolulu, Hi
U•••• F•••••••• S••••••• G••••• I••• unclassified
Oct 5, 2006 to Mar 18, 2010 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

B••••• A••••••• to C••••• I••••••••• A••••••• L••
left Aug 11, 2025, registered Aug 7, 2025 (-4 days) · RIA to affiliated broker-dealer or bank · moved with a team
V•••• F•••••••• A•••••••• I••• to B••••• A•••••••
left Oct 21, 2015, registered Oct 2, 2015 (-19 days) · Other
S••••••••• A•••••• A•••••••• I••• to V•••• F•••••••• A•••••••• I•••
left Nov 29, 2012, registered Dec 5, 2012 (6 days) · Other
U•••• F•••••••• S••••••• G••••• I••• to S••••••••• A•••••• A•••••••• I•••
left Mar 18, 2010, registered Apr 15, 2010 (28 days) · Other

Signals

B•••• T•••• M••••••• left B••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-08-07)
Aug 11, 2025 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address