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.
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SEC-registered adviser
C••••••••• • A••••••••• L••
Latest filing Mar 11, 2026
First filing on the tape Jan 13, 2012 · 21 filings
SEC status approved since Jan 3, 1980
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
69%
$185M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$66.8M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$267M as of Mar 11, 2026
Mar 30, 2012$283M then
HNW client RAUM$61.8M as of Mar 11, 2026
Feb 13, 2018$52.6M then
State-registered IARs (5.B.3)4 as of Mar 11, 2026
Apr 1, 20135 then
Employees (5.A)5 as of Mar 11, 2026
Apr 1, 20135 then
Private funds: no history
RAUM +25% over the last fiscal year+14% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $66.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$123M46%
- Pension and profit-sharing plans$73.0M27%
- High-net-worth individuals$61.8M23%
- Corporations and businesses$6.5M2.4%
- Charitable organizations$2.6M1.0%
- Individual clients
- 138reported
- HNW clients
- 13reported
- Pension plan clients
- 9reported
- Charitable clients
- 2reported
- Accounts
- 165reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=0.69 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• C••• B••••••Certified Financial Planner | Austin, Tx | Jan 18, 2012 | 18 y | 2 |
| N•••• M•••• K•••••••••Chartered Financial Analyst | Honolulu, Hi | Mar 21, 2018 | 27 y | 0 |
| M•• C••••••• O••••Certified Financial Planner | Honolulu, Hi | Mar 21, 2018 | 14 y | 0 |
| C•••••• M•••••••• B•••••• | Honolulu, Hi | Mar 23, 2018 | 47 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- O•• L••••••••• to A•••• R•••• L••Feb 11, 2019 · RIA to a state-registered adviser
- B•••• C••• B•••••• to U•• F•••••••• S••••••• I•••Oct 20, 2010 · Other
Joined, latest
- B•••• C••• B•••••• from U•• F•••••••• S••••••• I•••Jan 18, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• B•••••••• J••••• · Directorcontrolsince 07/2006 · owns less than 5%
- B••••••• B••••• C••• · Director / Sr. Vice Presidentcontrolsince 03/2012 · owns 10% to 25%
- B••••••• C••••••• M•••••••• · Chairman Of The Boardcontrolsince 01/1979 · owns less than 5%
- B••••••• C••••••• M•••••••• · Directorcontrolsince 08/2004 · owns less than 5%
- B••••••• G•••••• · Directorcontrolsince 09/1982 · owns 25% to 50%
- B••••••• H•••••• A••••••••• · Directorcontrolsince 06/1984 · owns 25% to 50%
- K••••••••• N••••• M•••• · President/Chief Compliance Officer/Treasurercontrolsince 08/2004 · owns less than 5%
- C••••••• O••••• M•• · Vice President, Secretarysince 09/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Honolulu, Hi | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 11, 2026subscription fees (Item 5.E.3): yes on the filing of 2025-03-14, no on the filing of 2026-03-11peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 144 to 165Mar 14, 2025 to Mar 11, 2026
- Advisory activities · 4 to 3Mar 14, 2025 to Mar 11, 2026
- HNW clients · 12 to 13Mar 14, 2025 to Mar 11, 2026
- Individual clients · 119 to 138Mar 14, 2025 to Mar 11, 2026
- Pension plan clients · 8 to 9Mar 14, 2025 to Mar 11, 2026
- Discretionary RAUM · $213M to $267MMar 14, 2025 to Mar 11, 2026
- HNW RAUM · $53.6M to $61.8MMar 14, 2025 to Mar 11, 2026
- Individual RAUM · $101M to $123MMar 14, 2025 to Mar 11, 2026
- Pension RAUM · $50.3M to $73.0MMar 14, 2025 to Mar 11, 2026
- RAUM · $213M to $267MMar 14, 2025 to Mar 11, 2026
- Accounts · 136 to 144Mar 26, 2024 to Mar 14, 2025
- Individual clients · 110 to 119Mar 26, 2024 to Mar 14, 2025
- Pension plan clients · 9 to 8Mar 26, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Mar 26, 2024 to Mar 14, 2025
- HQ city · unset to Mar 26, 2024 to Mar 14, 2025
- HQ state · unset to Mar 26, 2024 to Mar 14, 2025
- Discretionary RAUM · $186M to $213MMar 26, 2024 to Mar 14, 2025
- HNW RAUM · $49.0M to $53.6MMar 26, 2024 to Mar 14, 2025
- Individual RAUM · $84.1M to $101MMar 26, 2024 to Mar 14, 2025
- Pension RAUM · $45.8M to $50.3MMar 26, 2024 to Mar 14, 2025
- RAUM · $186M to $213MMar 26, 2024 to Mar 14, 2025
- Accounts · 272 to 136Mar 8, 2023 to Feb 29, 2024
- Corporate clients · 2 to 3Mar 8, 2023 to Feb 29, 2024
- HNW clients · 11 to 12Mar 8, 2023 to Feb 29, 2024
- Individual clients · 113 to 110Mar 8, 2023 to Feb 29, 2024
- Pension plan clients · 12 to 9Mar 8, 2023 to Feb 29, 2024
- Discretionary RAUM · $179M to $186MMar 8, 2023 to Feb 29, 2024
- HNW RAUM · $44.4M to $49.0MMar 8, 2023 to Feb 29, 2024
- Individual RAUM · $75.8M to $84.1MMar 8, 2023 to Feb 29, 2024
- Pension RAUM · $53.3M to $45.8MMar 8, 2023 to Feb 29, 2024
- RAUM · $179M to $186MMar 8, 2023 to Feb 29, 2024
- Accounts · 266 to 272Mar 14, 2022 to Mar 8, 2023
- Advisory employees · 5 to 4Mar 14, 2022 to Mar 8, 2023
- Advisory activities · 3 to 4Mar 14, 2022 to Mar 8, 2023
- HNW clients · 12 to 11Mar 14, 2022 to Mar 8, 2023
- Individual clients · 107 to 113Mar 14, 2022 to Mar 8, 2023
- Pension plan clients · 13 to 12Mar 14, 2022 to Mar 8, 2023
- Financial planning clients · 11-25 to 1-10Mar 14, 2022 to Mar 8, 2023
- State-registered IARs · 5 to 4Mar 14, 2022 to Mar 8, 2023
- Discretionary RAUM · $221M to $179MMar 14, 2022 to Mar 8, 2023
Signals
2 dated events
- Debra Chun (Sr. V.P./Secretary) no longer on Schedule A of C••••••••• • A••••••••• L•• (listed 2022-03-14, absent 2023-03-08)Mar 8, 2023 · Control person left · inference
- C••••••••• • A••••••••• L•• reported RAUM $165.5M, down 67% from $505.3M (2017-03-24 to 2018-02-13)Feb 13, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 512-582-7447reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 512-582-8448reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 808-595-1091reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- CMB••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 808-595-1099reportedpublic record, Form ADV, Mar 11, 2026
- Team page
- c••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $66.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026