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A•• T•••• C•••••••••

Former SEC-registered adviserFormer SEC adviser· Hagatna

Former SEC-registered adviser, based in Hagatna, reporting $410M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2013-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $410M
RAUM change, last fiscal year: +19%
Private clients: 0.0% of RAUM

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2013-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2013, RAUM $344M to $410M (+19.2%) on the Form ADV filed 27 Mar 2013.

Every filed figure, and the identifiersCRD 136482 · SEC 801-64853 · 2 filingsShow

CRD 136482SEC 801-64853First filing on the tape Mar 5, 2012, latest Mar 27, 2013IAPD

RAUM

$410M

reported, Item 5.F

Discretionary

49%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

10 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM +19% over the last fiscal year · the tape starts Mar 5, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$410M as of Mar 27, 2013

Mar 5, 2012$344M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2013

Mar 5, 20120 then

Employees (5.A): 31

Private funds: no history

RAUM +19% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2013; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM 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: $785,441derivedRAUM over accounts (5.F.2.f)
Discretionary: 49%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +19%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 individuals, pension consulting, educational seminars, otherreportedItem 5.G
Custody: $410M, 522 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 a trust company (6.A.8)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
a related person has custody of client cash (9.B.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 522reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $410M for 522 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••• D•••••• H••••• · Executive Vice President / Chief Compliance Officercontrol
since 01/1998 · owns 5% to 10%
J•••• D••••• J••••• · Presidentcontrol
since 01/1992 · owns 75% or more
A••• P••••• P••••• · Owner
since 01/1995 · owns 10% to 25%

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 · 490 to 522
Mar 5, 2012 to Mar 27, 2013
Advisory employees · unset to 10.0
Mar 5, 2012 to Mar 27, 2013
Advisory activities · 3 to 5
Mar 5, 2012 to Mar 27, 2013
Assets in custody · $344M to $410M
Mar 5, 2012 to Mar 27, 2013
Employees · unset to 31.0
Mar 5, 2012 to Mar 27, 2013

Full history · 9 changes

Financial planning clients · 101-250 to 251-500
Mar 5, 2012 to Mar 27, 2013
Discretionary RAUM · $141M to $202M
Mar 5, 2012 to Mar 27, 2013
Non-discretionary RAUM · $203M to $208M
Mar 5, 2012 to Mar 27, 2013
RAUM · $344M to $410M
Mar 5, 2012 to Mar 27, 2013

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.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026