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
K••••• F•••••••• A•••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Mar 14, 2012 · 22 filings
SEC status approved since Jul 5, 2017
RAUM
$203M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$102M
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
22 filings and snapshots on the tape
RAUM$203M as of Mar 20, 2026
Mar 14, 2012$67.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Mar 20, 2026
Mar 7, 20182 then
Private funds: no history
RAUM +16% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $102MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $481,975derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$202M100%
- Charitable organizations$979,7280.5%
- Individual clients
- 162reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 422reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••• S••••• M••••••••Certified Financial Planner | Honolulu, Hi | Mar 28, 2012 | 21 y | 0 |
| G••• S••••• M••••••••Certified Financial Planner | Honolulu, Hi | Mar 28, 2012 | 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
- M••••••••• G•••• S••••• · Chief Compliance Officercontrolsince 07/2007 · owns less than 5%
- M••••••••• R•••• S••••• · Member-Managercontrolsince 12/2014 · owns 50% to 75%
Entity owners
- G••• S• M•••••••• T•••• · Trustdirect · owns 50% to 75%
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 · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 163 to 422Mar 5, 2025 to Mar 20, 2026
- Discretionary RAUM · $175M to $203MMar 5, 2025 to Mar 20, 2026
- Individual RAUM · $174M to $202MMar 5, 2025 to Mar 20, 2026
- RAUM · $175M to $203MMar 5, 2025 to Mar 20, 2026
- Accounts · 439 to 163Mar 13, 2024 to Mar 5, 2025
- Individual clients · 165 to 162Mar 13, 2024 to Mar 5, 2025
- Financial planning clients · 101-250 to 101-250Mar 13, 2024 to Mar 5, 2025
- Discretionary RAUM · $164M to $175MMar 13, 2024 to Mar 5, 2025
- Individual RAUM · $163M to $174MMar 13, 2024 to Mar 5, 2025
- RAUM · $164M to $175MMar 13, 2024 to Mar 5, 2025
- Accounts · 166 to 439Aug 10, 2023 to Mar 13, 2024
- Discretionary RAUM · $147M to $164MAug 10, 2023 to Mar 13, 2024
- Individual RAUM · $146M to $163MAug 10, 2023 to Mar 13, 2024
- RAUM · $147M to $164MAug 10, 2023 to Mar 13, 2024
- Accounts · 434 to 166Mar 22, 2022 to Mar 15, 2023
- Charity clients · unset to 1.0Mar 22, 2022 to Mar 15, 2023
- Assets in custody · 66284558.0 to unsetMar 22, 2022 to Mar 15, 2023
- Custody of client assets · true to falseMar 22, 2022 to Mar 15, 2023
- Discretionary RAUM · $167M to $147MMar 22, 2022 to Mar 15, 2023
- Individual RAUM · $166M to $146MMar 22, 2022 to Mar 15, 2023
- RAUM · $167M to $147MMar 22, 2022 to Mar 15, 2023
- Accounts · 412 to 434Nov 1, 2021 to Mar 22, 2022
- Charity clients · 1.0 to unsetNov 1, 2021 to Mar 22, 2022
- Individual clients · 161 to 165Nov 1, 2021 to Mar 22, 2022
- Assets in custody · $57.7M to $66.3MNov 1, 2021 to Mar 22, 2022
- Discretionary RAUM · $140M to $167MNov 1, 2021 to Mar 22, 2022
- Individual RAUM · $139M to $166MNov 1, 2021 to Mar 22, 2022
- RAUM · $140M to $167MNov 1, 2021 to Mar 22, 2022
- Accounts · 159 to 412Jun 29, 2020 to Mar 8, 2021
- Individual clients · 158 to 161Jun 29, 2020 to Mar 8, 2021
- Assets in custody · $51.2M to $57.7MJun 29, 2020 to Mar 8, 2021
- Discretionary RAUM · $128M to $140MJun 29, 2020 to Mar 8, 2021
- Individual RAUM · $126M to $139MJun 29, 2020 to Mar 8, 2021
- RAUM · $128M to $140MJun 29, 2020 to Mar 8, 2021
- Accounts · 429 to 159Mar 14, 2019 to Mar 9, 2020
- Individual clients · 165 to 158Mar 14, 2019 to Mar 9, 2020
- Assets in custody · $88.8M to $51.2MMar 14, 2019 to Mar 9, 2020
- Discretionary RAUM · $113M to $128MMar 14, 2019 to Mar 9, 2020
- Individual RAUM · $112M to $126MMar 14, 2019 to Mar 9, 2020
- RAUM · $113M to $128MMar 14, 2019 to Mar 9, 2020
Signals
1 dated events
- K••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2017 · First SEC registration · fact
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
- 808-734-7665reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 808-735-7110reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- K•••••FINANCIALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-734-7665reportedpublic record, Form ADV, Mar 20, 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
- $102Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026