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

F••••••• D••••• P•••••••

M••••• S••••••wirehouseHonolulu, Hidual registrantIAPD 5140820

Certified Financial Planner

Feed of 09/14/2026

Also filed as F••••••• D P•••••••

At current firm

2 y

since Aug 2, 2024

In the industry

20 y

since Jul 28, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Aug 2, 2024 · Honolulu, Hi
R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
Jul 6, 2018 to Aug 6, 2024 · Honolulu, Hi
B••••• A••••••• former
Mar 1, 2017 to Jul 6, 2018 · Honolulu, Hi
L•• F•••••••• L•• BD affiliated
Sep 22, 2014 to Mar 6, 2017 · Kapolei, Hi
B••••• A••••••• former
Jun 16, 2014 to Sep 18, 2014 · Honolulu, Hi
C•••••• S••••• • C••• I••• national BD
Dec 5, 2008 to Jun 15, 2010 · Englewood, Co
E••••• J•••• national BD
Jul 3, 2007 to Oct 8, 2008 · Englewood, Co

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••• S••••••
left Aug 6, 2024, registered Aug 2, 2024 (-4 days) · Affiliated broker-dealer or bank to wirehouse
B••••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
left Jul 6, 2018, registered Jul 6, 2018 (0 days) · RIA to affiliated broker-dealer or bank
L•• F•••••••• L•• to B••••• A•••••••
left Mar 6, 2017, registered Mar 1, 2017 (-5 days) · Other
B••••• A••••••• to L•• F•••••••• L••
left Sep 18, 2014, registered Sep 22, 2014 (4 days) · Other
C•••••• S••••• • C••• I••• to B••••• A•••••••
left Jun 15, 2010, registered Jun 16, 2014 (1462 days) · Other
E••••• J•••• to C•••••• S••••• • C••• I•••
left Oct 8, 2008, registered Dec 5, 2008 (58 days) · Affiliated broker-dealer or bank to another

Signals

F••••••• D••••• P••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for M••••• S•••••• (registered 2024-08-02)
Aug 6, 2024 · 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: Wirehousederived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address