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.

Former SEC-registered adviser

Lee Financial Group Hawaii, Inc.

Former SEC-registered adviserHonolulu, HawaiiCRD 104781SEC 801-33016IAPD
Latest filing Mar 18, 2024
First filing on the tape Dec 2, 2011 · 31 filings
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$219M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$226M as of Mar 18, 2024
Mar 29, 2012$350M then
HNW client RAUM$120M as of Mar 18, 2024
Mar 31, 2018$57.2M then
State-registered IARs (5.B.3)10 as of Mar 18, 2024
Mar 27, 201312 then
Employees (5.A)10 as of Mar 18, 2024
Mar 27, 201312 then
Private funds: no history
RAUM -32% over the last fiscal year-16% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
RAUM per advisor
$22.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
61derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.1MderivedHNW RAUM over HNW clients
Average account
$181,497derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-32%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.9%derived
Compensation
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$8.6M, 123 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is an insurance broker or agent (6.A.6)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • a related person has custody of client cash (9.B.1.a)
  • an independent public accountant performs a surprise examination (9.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$120M53%
  • Individuals$99.1M44%
  • Corporations and businesses$5.6M2.5%
Individual clients
555reported
HNW clients
56reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,247reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$8.6M for 123 clientsreported
Compensation
% of AUM, fixed, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Bridget Nora Foley · Executive Vice President, Treasurer, Chief Compliance Officercontrol
      since 05/1996 · owns less than 5%
    • Kwock Hing Terrence Lee · Director, President, Secretary And Ceocontrol
      since 05/1988 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Honolulu, Hi · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,329 to 1,247
      Jan 2, 2024 to Mar 18, 2024
    • Advisory activities · 6 to 5
      Jan 2, 2024 to Mar 18, 2024
    • BD registered reps · 10 to 0
      Jan 2, 2024 to Mar 18, 2024
    • HNW clients · 33 to 56
      Jan 2, 2024 to Mar 18, 2024
    • Individual clients · 590 to 555
      Jan 2, 2024 to Mar 18, 2024
    • Assets in custody · $4.1M to $8.6M
      Jan 2, 2024 to Mar 18, 2024
    • Discretionary RAUM · $335M to $226M
      Jan 2, 2024 to Mar 18, 2024
    • HNW RAUM · $65.0M to $120M
      Jan 2, 2024 to Mar 18, 2024
    • Individual RAUM · $118M to $99.1M
      Jan 2, 2024 to Mar 18, 2024
    • RAUM · $335M to $226M
      Jan 2, 2024 to Mar 18, 2024
    • Related broker-dealer · true to false
      Jan 2, 2024 to Mar 18, 2024
    • Accounts · 1,401 to 1,329
      Mar 30, 2022 to Mar 31, 2023
    • Advisory employees · 6 to 7
      Mar 30, 2022 to Mar 31, 2023
    • BD registered reps · 9 to 10
      Mar 30, 2022 to Mar 31, 2023
    • Corporate clients · 6 to 7
      Mar 30, 2022 to Mar 31, 2023
    • HNW clients · 118 to 33
      Mar 30, 2022 to Mar 31, 2023
    • Individual clients · 533 to 590
      Mar 30, 2022 to Mar 31, 2023
    • Assets in custody · $8.3M to $4.1M
      Mar 30, 2022 to Mar 31, 2023
    • Employees · 9 to 10
      Mar 30, 2022 to Mar 31, 2023
    • State-registered IARs · 8 to 10
      Mar 30, 2022 to Mar 31, 2023
    • Discretionary RAUM · $393M to $335M
      Mar 30, 2022 to Mar 31, 2023
    • HNW RAUM · $146M to $65.0M
      Mar 30, 2022 to Mar 31, 2023
    • Individual RAUM · $75.6M to $118M
      Mar 30, 2022 to Mar 31, 2023
    • RAUM · $393M to $335M
      Mar 30, 2022 to Mar 31, 2023
    • Accounts · 1,461 to 1,401
      Mar 25, 2021 to Mar 30, 2022
    • Advisory employees · 7 to 6
      Mar 25, 2021 to Mar 30, 2022
    • BD registered reps · 10 to 9
      Mar 25, 2021 to Mar 30, 2022
    • Corporate clients · 7 to 6
      Mar 25, 2021 to Mar 30, 2022
    • HNW clients · 116 to 118
      Mar 25, 2021 to Mar 30, 2022
    • Individual clients · 575 to 533
      Mar 25, 2021 to Mar 30, 2022
    • Assets in custody · $8.8M to $8.3M
      Mar 25, 2021 to Mar 30, 2022
    • Employees · 10 to 9
      Mar 25, 2021 to Mar 30, 2022
    • State-registered IARs · 10 to 8
      Mar 25, 2021 to Mar 30, 2022
    • Discretionary RAUM · $379M to $393M
      Mar 25, 2021 to Mar 30, 2022
    • HNW RAUM · $116M to $146M
      Mar 25, 2021 to Mar 30, 2022
    • Individual RAUM · $95.1M to $75.6M
      Mar 25, 2021 to Mar 30, 2022
    • RAUM · $379M to $393M
      Mar 25, 2021 to Mar 30, 2022
    • Accounts · 1,315 to 1,461
      Nov 9, 2020 to Mar 25, 2021
    • Corporate clients · 5 to 7
      Nov 9, 2020 to Mar 25, 2021
    • HNW clients · 90 to 116
      Nov 9, 2020 to Mar 25, 2021
    Signals
    10 dated events
    • Stephanie Ann Fumie Kuwaye left Lee Financial Group Hawaii, Inc. for Cetera Planning Partners (registered 2024-05-28)
      May 29, 2024 · Advisor changed firm · fact
    • Charlotte Keiko Teruya-Westcott left Lee Financial Group Hawaii, Inc. for Cetera Planning Partners (registered 2024-05-28)
      May 29, 2024 · Advisor changed firm · fact
    • Jandi Akiko Iha left Lee Financial Group Hawaii, Inc. for Cetera Planning Partners (registered 2024-06-03)
      May 29, 2024 · Advisor changed firm · fact
    • Sarah Kleinschmidt left Lee Financial Group Hawaii, Inc. for Cetera Planning Partners (registered 2024-05-28)
      May 29, 2024 · Advisor changed firm · fact
    • Kathy Lynn Lum left Lee Financial Group Hawaii, Inc. for Cetera Planning Partners (registered 2024-05-28)
      May 29, 2024 · Advisor changed firm · fact
    • Lee Financial Group Hawaii, Inc.'s advisors moved to Cetera Planning Partners (Honolulu, HI): 5 of 5 registered, on the same day
      May 29, 2024 · Firm absorbed (people side) · derived
    • Amber Lynn Kimie Suhas left Lee Financial Group Hawaii, Inc. for Edward Jones (registered 2024-04-26)
      Apr 22, 2024 · Advisor changed firm · fact
    • Lee Financial Group Hawaii, Inc. reported RAUM $226.3M, down 32% from $334.6M (2024-01-02 to 2024-03-18)
      Mar 18, 2024 · RAUM change · derived
    • Amiko Charlotte Meyer (Director, Executive Vice President, Secretary) no longer on Schedule A of Lee Financial Group Hawaii, Inc. (listed 2024-01-02, absent 2024-03-18)
      Mar 18, 2024 · Control person left · inference
    • Endo Lugene Lee (Director) no longer on Schedule A of Lee Financial Group Hawaii, Inc. (listed 2019-07-31, absent 2020-03-27)
      Mar 27, 2020 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026