DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

3• W••••• A•••••••• I•••

Former SEC-registered adviserHonolulu, HawaiiCRD 144765SEC 801-111861IAPD

Latest filing Mar 30, 2019

First filing on the tape Mar 31, 2012 · 11 filings

RAUM

$118M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

99%

$117M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$118M as of Mar 30, 2019

Mar 31, 2012$63.3M then

HNW client RAUM$54.3M as of Mar 30, 2019

Mar 31, 2018$37.7M then

State-registered IARs (5.B.3)1 as of Mar 30, 2019

Mar 31, 20120 then

Employees (5.A)2 as of Mar 30, 2019

Mar 31, 20182 then

Private funds: no history

RAUM -3.7% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 30, 2019; every figure names its basis

RAUM per advisor: $118MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 150derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.6MderivedHNW RAUM over HNW clients
Average account: $259,075derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.8%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: -3.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +3.4%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
Custody: $45.3M, 85 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$62.9M53%
High-net-worth individuals$54.3M46%
Pension and profit-sharing plans$939,2080.8%

Individual clients: 115reported
HNW clients: 35reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 456reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: $45.3M for 85 clientsreported
Compensation: % of AUMreported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

M••••••• H•••• T••••• to C•••••• P••••••• I••••••••• G•••• L••
Feb 6, 2020 · RIA to RIA

Joined, latest

M••••••• H•••• T••••• from W••••••••• F•••••••• S••••••• O• H•••••• L••
Oct 24, 2008 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

P•••• W••••• K••••••• · Chief Compliance Officercontrol
since 06/2017 · owns less than 5%
T•••••• M•••••••• H•••• · Presidentcontrol
since 05/2007 · owns 75% or more

Related persons

Schedule D 7.A

S••••••• • T•••••• I•••
insurancen
S••••••• • T•••••• L••
n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 430 to 456
Oct 9, 2018 to Mar 30, 2019
HNW clients · 22 to 35
Oct 9, 2018 to Mar 30, 2019
Individual clients · 123 to 115
Oct 9, 2018 to Mar 30, 2019
Assets in custody · $52.0M to $45.3M
Oct 9, 2018 to Mar 30, 2019
HNW RAUM · $37.7M to $54.3M
Oct 9, 2018 to Mar 30, 2019
Individual RAUM · $84.1M to $62.9M
Oct 9, 2018 to Mar 30, 2019
Non-discretionary RAUM · $123M to $118M
Oct 9, 2018 to Mar 30, 2019
Pension RAUM · $877,988 to $939,208
Oct 9, 2018 to Mar 30, 2019
RAUM · $123M to $118M
Oct 9, 2018 to Mar 30, 2019
Accounts · 429 to 430
Jan 2, 2018 to Mar 31, 2018
HNW clients · unset to 22.0
Jan 2, 2018 to Mar 31, 2018
Individual clients · unset to 123.0
Jan 2, 2018 to Mar 31, 2018
Assets in custody · unset to 51995416.0
Jan 2, 2018 to Mar 31, 2018
Custody of client assets · false to true
Jan 2, 2018 to Mar 31, 2018
HNW RAUM · unset to 37704837.0
Jan 2, 2018 to Mar 31, 2018
Individual RAUM · unset to 84115736.0
Jan 2, 2018 to Mar 31, 2018
Non-discretionary RAUM · $109M to $123M
Jan 2, 2018 to Mar 31, 2018
Pension RAUM · unset to 877988.0
Jan 2, 2018 to Mar 31, 2018
RAUM · $109M to $123M
Jan 2, 2018 to Mar 31, 2018
Other offices · unset to 0.0
Sep 15, 2017 to Jan 2, 2018
Accounts · 276 to 429
Aug 7, 2012 to Sep 15, 2017
Advisory employees · unset to 1.0
Aug 7, 2012 to Sep 15, 2017
Business name · T••••• W••••• M••••••••• I••• to 3• W••••• A•••••••• I•••
Aug 7, 2012 to Sep 15, 2017
Employees · unset to 2.0
Aug 7, 2012 to Sep 15, 2017
Financial planning clients · 26-50 to 101-250
Aug 7, 2012 to Sep 15, 2017
State-registered IARs · 0 to 1
Aug 7, 2012 to Sep 15, 2017
Legal name · T••••• W••••• M••••••••• I••• to 3• W••••• A•••••••• I•••
Aug 7, 2012 to Sep 15, 2017
Non-discretionary RAUM · $63.3M to $109M
Aug 7, 2012 to Sep 15, 2017
RAUM · $63.3M to $109M
Aug 7, 2012 to Sep 15, 2017

Signals

1 dated events

3• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
Sep 15, 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.

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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026