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
R••••• P•••••• L••
Latest filing Mar 6, 2026
First filing on the tape Mar 5, 2012 · 19 filings
SEC status approved since Mar 29, 1999
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$197M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$220M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$220M as of Mar 6, 2026
Mar 5, 2012$118M then
HNW client RAUM$177M as of Mar 6, 2026
Feb 26, 2018$86.6M then
State-registered IARs (5.B.3)0 as of Mar 6, 2026
Mar 5, 20120 then
Employees (5.A)2 as of Mar 6, 2026
Feb 6, 20132 then
Private funds: no history
RAUM +38% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $220MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 144derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $454,339derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $39.4M, 60 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$177M80%
- Pension and profit-sharing plans$23.3M11%
- Individuals$19.7M9.0%
- Individual clients
- 62reported
- HNW clients
- 82reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 484reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.4M for 60 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.11 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• D••••• P••••• | Honolulu, Hi | Dec 15, 2025 | 43 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••••• R•••••• D••••• · Chief Executive Officercontrolsince 07/1987 · owns 75% or more
- A••• A••••••• K• · Chief Compliance Officersince 04/2018 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Mar 6, 2026RAUM (Item 5.F) moved from $159,050,000 to $219,900,000 (+38.0%) between the annual amendments of 2025-03-13 and 2026-03-06; the peer median change was +15.0% (4550 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 473 to 484Oct 1, 2025 to Mar 6, 2026
- HNW clients · 81 to 82Oct 1, 2025 to Mar 6, 2026
- Individual clients · 53 to 62Oct 1, 2025 to Mar 6, 2026
- Assets in custody · $55.4M to $39.4MOct 1, 2025 to Mar 6, 2026
- Discretionary RAUM · $159M to $220MOct 1, 2025 to Mar 6, 2026
- HNW RAUM · $130M to $177MOct 1, 2025 to Mar 6, 2026
- Individual RAUM · $11.8M to $19.7MOct 1, 2025 to Mar 6, 2026
- Pension RAUM · $17.7M to $23.3MOct 1, 2025 to Mar 6, 2026
- RAUM · $159M to $220MOct 1, 2025 to Mar 6, 2026
- Accounts · 479 to 473Mar 27, 2024 to Mar 13, 2025
- HNW clients · 85 to 81Mar 27, 2024 to Mar 13, 2025
- Individual clients · 52 to 53Mar 27, 2024 to Mar 13, 2025
- Pension plan clients · 19 to 17Mar 27, 2024 to Mar 13, 2025
- Assets in custody · $52.1M to $55.4MMar 27, 2024 to Mar 13, 2025
- Financial planning clients · 101-250 to 101-250Mar 27, 2024 to Mar 13, 2025
- Discretionary RAUM · $151M to $159MMar 27, 2024 to Mar 13, 2025
- HNW RAUM · $120M to $130MMar 27, 2024 to Mar 13, 2025
- Individual RAUM · $13.7M to $11.8MMar 27, 2024 to Mar 13, 2025
- Pension RAUM · $17.5M to $17.7MMar 27, 2024 to Mar 13, 2025
- RAUM · $151M to $159MMar 27, 2024 to Mar 13, 2025
- Accounts · 465 to 479Jan 30, 2023 to Mar 27, 2024
- Individual clients · 50 to 52Jan 30, 2023 to Mar 27, 2024
- Pension plan clients · 13 to 19Jan 30, 2023 to Mar 27, 2024
- Assets in custody · $43.4M to $52.1MJan 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $130M to $151MJan 30, 2023 to Mar 27, 2024
- HNW RAUM · $106M to $120MJan 30, 2023 to Mar 27, 2024
- Individual RAUM · $10.2M to $13.7MJan 30, 2023 to Mar 27, 2024
- Pension RAUM · $13.6M to $17.5MJan 30, 2023 to Mar 27, 2024
- RAUM · $130M to $151MJan 30, 2023 to Mar 27, 2024
- Accounts · 426 to 465Feb 11, 2022 to Jan 30, 2023
- HNW clients · 76 to 85Feb 11, 2022 to Jan 30, 2023
- Individual clients · 49 to 50Feb 11, 2022 to Jan 30, 2023
- Pension plan clients · 11 to 13Feb 11, 2022 to Jan 30, 2023
- Assets in custody · $49.7M to $43.4MFeb 11, 2022 to Jan 30, 2023
- Discretionary RAUM · $131M to $130MFeb 11, 2022 to Jan 30, 2023
- HNW RAUM · $108M to $106MFeb 11, 2022 to Jan 30, 2023
- Individual RAUM · $10.3M to $10.2MFeb 11, 2022 to Jan 30, 2023
- Pension RAUM · $12.9M to $13.6MFeb 11, 2022 to Jan 30, 2023
- RAUM · $131M to $130MFeb 11, 2022 to Jan 30, 2023
- Accounts · 420 to 426Mar 19, 2021 to Feb 11, 2022
Signals
No event on the tape.
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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 735-8882reportedpublic record, Form ADV, Mar 6, 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
- $220Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026