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
T••• L•••• C••••••
Legal name T••• L•••• C•••••• M••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 20, 2018 · 21 filings
SEC status approved since May 18, 2018
RAUM
$315M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$294M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
5
2 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$315M as of Mar 25, 2026
Apr 12, 2019$128M then
HNW client RAUM$278M as of Mar 25, 2026
Apr 12, 2019$118M then
State-registered IARs (5.B.3)2 as of Mar 25, 2026
Apr 12, 20193 then
Employees (5.A)5 as of Mar 25, 2026
Apr 12, 20195 then
Private funds: no history
RAUM +28% over the last fiscal year+5.6% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $784,731derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $135M, 73 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$278M88%
- Individuals$15.9M5.1%
- Corporations and businesses$13.3M4.2%
- Pension and profit-sharing plans$7.0M2.2%
- Charitable organizations$50,4420.0%
- Individual clients
- 34reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $135M for 73 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| M•• G•• K•• | Redwood Shores, Ca | Jan 1, 2025 | 38 y | 1 |
| F•••• K••••••• Y• | Honolulu, Hi | Jan 1, 2025 | 34 y | 2 |
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
- J••• J•••••••• C•• to K••••• A•••••••• L••Mar 17, 2021 · RIA to a state-registered adviser
- J••• J•••••••• C•• to T•• C•••••• M••••••••• L••Sep 25, 2013 · Other
Joined, latest
- F•••• K••••••• Y• from T•• C•••••• M••••••••• L••Jan 1, 2025 · Other
- M•• G•• K•• from F•••• A••••• S••••••••• I•••Jan 1, 2025 · Other
- J••• J•••••••• C•• from T•• C•••••• M••••••••• L••Apr 20, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••• M••• G•• · Managing Member/Chief Compliance Officercontrolsince 08/2005 · owns 75% or more
- Y•• F••••• K••••••• · Sr. Vice Presidentsince 01/2018 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Honolulu, HI1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 25, 2026financial planning (Item 5.G.1): no on the filing of 2025-12-15, yes on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 429 to 401Dec 15, 2025 to Mar 25, 2026
- Advisory activities · 3 to 4Dec 15, 2025 to Mar 25, 2026
- HNW clients · 50 to 49Dec 15, 2025 to Mar 25, 2026
- Assets in custody · $97.3M to $135MDec 15, 2025 to Mar 25, 2026
- Financial planning clients · to 1-10Dec 15, 2025 to Mar 25, 2026
- Discretionary RAUM · $239M to $315MDec 15, 2025 to Mar 25, 2026
- HNW RAUM · $215M to $278MDec 15, 2025 to Mar 25, 2026
- Individual RAUM · $13.8M to $15.9MDec 15, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $7.0M to $0Dec 15, 2025 to Mar 25, 2026
- Pension RAUM · $5.8M to $7.0MDec 15, 2025 to Mar 25, 2026
- RAUM · $246M to $315MDec 15, 2025 to Mar 25, 2026
- Accounts · 432 to 429Mar 27, 2024 to Mar 28, 2025
- Corporate clients · 5 to 6Mar 27, 2024 to Mar 28, 2025
- HNW clients · 65 to 50Mar 27, 2024 to Mar 28, 2025
- Individual clients · 29 to 34Mar 27, 2024 to Mar 28, 2025
- Assets in custody · $95.7M to $97.3MMar 27, 2024 to Mar 28, 2025
- Employees · 6 to 5Mar 27, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 28, 2025
- Discretionary RAUM · $254M to $239MMar 27, 2024 to Mar 28, 2025
- HNW RAUM · $236M to $215MMar 27, 2024 to Mar 28, 2025
- Individual RAUM · $9.6M to $13.8MMar 27, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $8.2M to $7.0MMar 27, 2024 to Mar 28, 2025
- Pension RAUM · $5.0M to $5.8MMar 27, 2024 to Mar 28, 2025
- RAUM · $262M to $246MMar 27, 2024 to Mar 28, 2025
- Accounts · 375 to 432Jun 6, 2023 to Mar 27, 2024
- HNW clients · 59 to 65Jun 6, 2023 to Mar 27, 2024
- Individual clients · 38 to 29Jun 6, 2023 to Mar 27, 2024
- Assets in custody · $206M to $95.7MJun 6, 2023 to Mar 27, 2024
- Employees · 8 to 6Jun 6, 2023 to Mar 27, 2024
- Discretionary RAUM · $261M to $254MJun 6, 2023 to Mar 27, 2024
- HNW RAUM · $237M to $236MJun 6, 2023 to Mar 27, 2024
- Individual RAUM · $15.3M to $9.6MJun 6, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $6.6M to $8.2MJun 6, 2023 to Mar 27, 2024
- Pension RAUM · $3.9M to $5.0MJun 6, 2023 to Mar 27, 2024
- RAUM · $267M to $262MJun 6, 2023 to Mar 27, 2024
- Accounts · 435 to 375Nov 4, 2022 to Mar 23, 2023
- HNW clients · 52 to 59Nov 4, 2022 to Mar 23, 2023
- Individual clients · 31 to 38Nov 4, 2022 to Mar 23, 2023
- Assets in custody · $101M to $206MNov 4, 2022 to Mar 23, 2023
- Employees · 7 to 8Nov 4, 2022 to Mar 23, 2023
Signals
2 dated events
- T••• L•••• C•••••• reported RAUM $273.3M, up 103% from $134.3M (2020-11-16 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- T••• L•••• C•••••• filed its initial SEC registration (Form ADV)Apr 20, 2018 · ria f•••• adv filing · 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
- Principal office phone
- (650) 610-9363reportedpublic record, Form ADV, Mar 25, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026