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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Latest filing Mar 4, 2026
First filing on the tape Mar 28, 2012 · 4 filings
SEC status approved since Jan 5, 2026
RAUM
$117M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$117M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$117M as of Mar 4, 2026
Mar 28, 2012$39.8M then
HNW client RAUM$110M as of Mar 4, 2026
Dec 24, 2025$106M then
State-registered IARs (5.B.3)1 as of Mar 4, 2026
Mar 28, 20120 then
Employees (5.A)1 as of Mar 4, 2026
Dec 24, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $456,542derivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $24.6M, 26 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$110M94%
- Individuals$7.5M6.4%
- Individual clients
- 24reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 257reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.6M for 26 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••• J••• B•••Certified Financial Planner, Chartered Financial Analyst | Honolulu, Hi | Jan 27, 1997 | 29 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
- B•••• L•••••• J••• · President/Chief Compliance Officercontrolsince 10/1996 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 238 to 257Dec 24, 2025 to Mar 4, 2026
- Individual clients · 21 to 24Dec 24, 2025 to Mar 4, 2026
- Assets in custody · $23.6M to $24.6MDec 24, 2025 to Mar 4, 2026
- Discretionary RAUM · $113M to $117MDec 24, 2025 to Mar 4, 2026
- HNW RAUM · $106M to $110MDec 24, 2025 to Mar 4, 2026
- Individual RAUM · $7.5M to $7.5MDec 24, 2025 to Mar 4, 2026
- RAUM · $113M to $117MDec 24, 2025 to Mar 4, 2026
- Accounts · 195 to 238May 15, 2012 to Dec 24, 2025
- Advisory employees · unset to 1.0May 15, 2012 to Dec 24, 2025
- HNW clients · unset to 37.0May 15, 2012 to Dec 24, 2025
- Individual clients · unset to 21.0May 15, 2012 to Dec 24, 2025
- Assets in custody · unset to 23551889.0May 15, 2012 to Dec 24, 2025
- Custody of client assets · false to trueMay 15, 2012 to Dec 24, 2025
- Employees · unset to 1.0May 15, 2012 to Dec 24, 2025
- Financial planning clients · 26-50 to 26-50May 15, 2012 to Dec 24, 2025
- HQ city · unset to May 15, 2012 to Dec 24, 2025
- HQ state · unset to May 15, 2012 to Dec 24, 2025
- State-registered IARs · 0 to 1May 15, 2012 to Dec 24, 2025
- Other offices · unset to 0.0May 15, 2012 to Dec 24, 2025
- Discretionary RAUM · $39.8M to $113MMay 15, 2012 to Dec 24, 2025
- HNW RAUM · unset to 105837219.0May 15, 2012 to Dec 24, 2025
- Individual RAUM · unset to 7478382.0May 15, 2012 to Dec 24, 2025
- RAUM · $39.8M to $113MMay 15, 2012 to Dec 24, 2025
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
- Business email
- i•••@l••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 808-526-2644reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- l••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (808) 526-2644reportedpublic record, Form ADV, Mar 4, 2026
- Team page
- l••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026