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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

I••••••••• M••••••••• H•••••

Former SEC-registered adviserHonolulu, HawaiiCRD 156532SEC 801-77597IAPD
Legal name P•••••• I•••••• W••••• M••••••••• L••
Latest filing Feb 27, 2019
First filing on the tape Jan 31, 2012 · 17 filings
RAUM
$144M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
29%
$41.6M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$144M as of Feb 27, 2019
Jan 31, 2012$67.3M then
HNW client RAUM$17.8M as of Feb 27, 2019
Feb 5, 2018$16.6M then
State-registered IARs (5.B.3)2 as of Feb 27, 2019
Jan 31, 20120 then
Employees (5.A)3 as of Feb 27, 2019
Feb 20, 20141 then
Private funds: no history
RAUM -5.7% over the last fiscal year+2.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 27, 2019; every figure names its basis
RAUM per advisor
$71.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.5MderivedHNW RAUM over HNW clients
Average account
$821,014derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
71%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-5.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-4.4%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$36.4M, 70 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$102M71%
  • Individuals$23.8M17%
  • High-net-worth individuals$17.8M12%
Individual clients
96reported
HNW clients
12reported
Pension plan clients
25reported
Charitable clients
n/areported
Accounts
175reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$36.4M for 70 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • K••••••• D••••• M••••• · Managing Member/Chief Compliance Officercontrol
    since 01/2011 · owns 50% to 75%
  • M•••••••• E••••••• S•••••• · Managing Membercontrol
    since 10/2012 · owns 50% to 75%
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 · 180 to 175
    Mar 28, 2018 to Feb 27, 2019
  • HNW clients · 10 to 12
    Mar 28, 2018 to Feb 27, 2019
  • Individual clients · 103 to 96
    Mar 28, 2018 to Feb 27, 2019
  • Pension plan clients · 24 to 25
    Mar 28, 2018 to Feb 27, 2019
  • Assets in custody · $23.5M to $36.4M
    Mar 28, 2018 to Feb 27, 2019
  • Discretionary RAUM · $152M to $144M
    Mar 28, 2018 to Feb 27, 2019
  • HNW RAUM · $16.6M to $17.8M
    Mar 28, 2018 to Feb 27, 2019
  • Individual RAUM · $27.4M to $23.8M
    Mar 28, 2018 to Feb 27, 2019
  • Pension RAUM · $108M to $102M
    Mar 28, 2018 to Feb 27, 2019
  • RAUM · $152M to $144M
    Mar 28, 2018 to Feb 27, 2019
  • Assets in custody · unset to 23519513.0
    Feb 5, 2018 to Mar 28, 2018
  • Custody of client assets · false to true
    Feb 5, 2018 to Mar 28, 2018
  • Accounts · 157 to 180
    May 23, 2017 to Feb 5, 2018
  • Advisory employees · 1 to 2
    May 23, 2017 to Feb 5, 2018
  • HNW clients · unset to 10.0
    May 23, 2017 to Feb 5, 2018
  • Individual clients · unset to 103.0
    May 23, 2017 to Feb 5, 2018
  • Pension plan clients · unset to 24.0
    May 23, 2017 to Feb 5, 2018
  • Employees · 1 to 3
    May 23, 2017 to Feb 5, 2018
  • Insurance-licensed employees · 0 to 1
    May 23, 2017 to Feb 5, 2018
  • Financial planning clients · unset to 0
    May 23, 2017 to Feb 5, 2018
  • State-registered IARs · 1 to 2
    May 23, 2017 to Feb 5, 2018
  • Other offices · unset to 0.0
    May 23, 2017 to Feb 5, 2018
  • Discretionary RAUM · $140M to $152M
    May 23, 2017 to Feb 5, 2018
  • HNW RAUM · unset to 16561070.0
    May 23, 2017 to Feb 5, 2018
  • Individual RAUM · unset to 27372994.0
    May 23, 2017 to Feb 5, 2018
  • Pension RAUM · unset to 108367764.0
    May 23, 2017 to Feb 5, 2018
  • RAUM · $140M to $152M
    May 23, 2017 to Feb 5, 2018
  • Accounts · 164 to 157
    Apr 15, 2016 to Mar 7, 2017
  • Advisory employees · 2 to 1
    Apr 15, 2016 to Mar 7, 2017
  • Employees · 2 to 1
    Apr 15, 2016 to Mar 7, 2017
  • Discretionary RAUM · $117M to $140M
    Apr 15, 2016 to Mar 7, 2017
  • Non-discretionary RAUM · $15.9M to $0
    Apr 15, 2016 to Mar 7, 2017
  • RAUM · $133M to $140M
    Apr 15, 2016 to Mar 7, 2017
  • Advisory employees · 1 to 2
    Feb 18, 2016 to Apr 1, 2016
  • Employees · 1 to 2
    Feb 18, 2016 to Apr 1, 2016
  • Accounts · 165 to 164
    Feb 9, 2015 to Feb 18, 2016
  • Discretionary RAUM · $40.2M to $117M
    Feb 9, 2015 to Feb 18, 2016
  • Non-discretionary RAUM · $91.7M to $15.9M
    Feb 9, 2015 to Feb 18, 2016
  • RAUM · $132M to $133M
    Feb 9, 2015 to Feb 18, 2016
  • Accounts · 156 to 165
    Jun 11, 2014 to Feb 9, 2015
Signals
1 dated events
  • I••••••••• M••••••••• H••••• filed its initial SEC registration (Form ADV)
    Jan 23, 2013 · 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