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

M•••••• Y• H•••••••

C••••• I••••••••• A••••••• L••BD affiliatedKaneohe, Hidual registrantIAPD 5948613

Feed of 09/14/2026

At current firm

0 y

since Sep 30, 2025

In the industry

14 y

since Sep 30, 2011 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

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 Sep 30, 2025 · Kaneohe, Hi
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Mar 31, 2025 to Oct 9, 2025 · Kaneohe, Hi
L•• F•••••••• L•• BD affiliated
Mar 18, 2019 to Apr 2, 2025 · Kaneohe, Hi
C••••• I••••••••• A••••••• L•• BD affiliated
Jan 19, 2018 to Feb 21, 2019 · Honolulu, Hi
L•• F•••••••• L•• BD affiliated
Jun 3, 2015 to Jan 24, 2018 · Honolulu, Hi
M•• F•••••••• S•••••••• I••• former
Jan 2, 2015 to May 29, 2015 · Honolulu, Hi
N•• E•••••• S••••••••• C••••••••• former
Sep 10, 2014 to Jan 2, 2015 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••
left Oct 9, 2025, registered Sep 30, 2025 (-9 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Apr 2, 2025, registered Mar 31, 2025 (-2 days) · Affiliated broker-dealer or bank to another
C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••
left Feb 21, 2019, registered Mar 18, 2019 (25 days) · Affiliated broker-dealer or bank to independent RIA
L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jan 24, 2018, registered Jan 19, 2018 (-5 days) · Other
M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 29, 2015, registered Jun 3, 2015 (5 days) · Other
N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move

Signals

M•••••• Y• H••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••• I••••••••• A••••••• L•• (registered 2025-09-30)
Oct 9, 2025 · Advisor changed firm · fact
M•••••• Y• H••••••• left L•• F•••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2025-03-31)
Apr 2, 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address