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
H••••• C•••••• M••••••••• L••
Latest filing Feb 26, 2026
First filing on the tape May 22, 2024 · 5 filings
SEC status approved since Jun 21, 2024
RAUM
$146M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
50%
$73.3M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$72.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$146M as of Feb 26, 2026
Mar 3, 2025$126M then
HNW client RAUM$73.3M as of Feb 26, 2026
Mar 3, 2025$67.4M then
State-registered IARs (5.B.3)2 as of Feb 26, 2026
Mar 3, 20252 then
Employees (5.A)2 as of Feb 26, 2026
Mar 3, 20252 then
Private funds1 as of Feb 26, 2026
Mar 3, 20251 then
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 26, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $72.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $55.4M, 1 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)
- 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
- High-net-worth individuals$73.3M50%
- Pooled investment vehicles$55.4M38%
- Pension and profit-sharing plans$15.1M10%
- Charitable organizations$1.7M1.2%
- Individual clients
- n/areported
- HNW clients
- 40reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 81reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $55.4M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.5 fund_share=0.38 institutional_share=0.12 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 |
|---|---|---|---|---|
| C••• R•••• S••••••• | Honolulu, Hi | Jan 11, 2012 | 21 y | 0 |
| G••••• T••••• N•••• | Honolulu, Hi | Jan 11, 2012 | 16 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H••••• C•••••• F••• I• L• | Hedge Fund | $39.4M | 76 | May 22, 2024 |
Owners and control persons
Schedule A and B, latest filing
- N••••• G•••••• T••••• · Principalcontrolsince 09/2009 · owns 50% to 75%
- S•••••••• C•••• R•••• · Principal & Chief Compliance Officercontrolsince 09/2009 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Honolulu, Hi · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 78 to 81Mar 3, 2025 to Feb 26, 2026
- Assets in custody · $45.1M to $55.4MMar 3, 2025 to Feb 26, 2026
- Discretionary RAUM · $126M to $146MMar 3, 2025 to Feb 26, 2026
- HNW RAUM · $67.4M to $73.3MMar 3, 2025 to Feb 26, 2026
- Pension RAUM · $11.6M to $15.1MMar 3, 2025 to Feb 26, 2026
- Pooled vehicle RAUM · $45.1M to $55.4MMar 3, 2025 to Feb 26, 2026
- RAUM · $126M to $146MMar 3, 2025 to Feb 26, 2026
- Accounts · 76 to 78Jun 27, 2024 to Mar 3, 2025
- HNW clients · 38 to 40Jun 27, 2024 to Mar 3, 2025
- Assets in custody · $39.4M to $45.1MJun 27, 2024 to Mar 3, 2025
- Financial planning clients · unset to Jun 27, 2024 to Mar 3, 2025
- Discretionary RAUM · $116M to $126MJun 27, 2024 to Mar 3, 2025
- HNW RAUM · $64.4M to $67.4MJun 27, 2024 to Mar 3, 2025
- Pension RAUM · $10.5M to $11.6MJun 27, 2024 to Mar 3, 2025
- Pooled vehicle RAUM · $39.4M to $45.1MJun 27, 2024 to Mar 3, 2025
- RAUM · $116M to $126MJun 27, 2024 to Mar 3, 2025
Signals
1 dated events
- H••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2024 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 808-387-0191reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-387-0191reportedpublic record, Form ADV, Feb 26, 2026
- Team page
- h•••••••••.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
- $72.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026