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Former SEC-registered adviserFormer SEC adviser· Honolulu, Hawaii

Former SEC-registered adviser, based in Honolulu, Hawaii, reporting $307M of regulatory assets.

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

Last reported RAUM
$307M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+11%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 8 Form ADV filings for this adviser, the latest 9.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 160516 · SEC 801-73912 · 8 filingsShow
CRD 160516SEC 801-73912First filing on the tape Feb 14, 2012, latest Mar 15, 2017IAPD
RAUM
$307M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$307M as of Mar 15, 2017
Mar 25, 2013$223M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2017
Mar 25, 20130 then
Employees (5.A)5 as of Mar 15, 2017
Mar 25, 20137 then
Private funds: no history
RAUM +11% over the last fiscal year+4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 15, 2017; every figure names its basis
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
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+11%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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
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
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
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
230reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R••••••• T•••••••• M• •••• · Managing Member / Ccocontrol
        since 02/2008 · owns 75% or more
      Related persons
      Schedule D 7.A
      • L•••••• T•• A••••••• G••••• L••
        insurancey
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 195 to 230
        Mar 21, 2016 to Mar 15, 2017
      • Employees · 4 to 5
        Mar 21, 2016 to Mar 15, 2017
      • Discretionary RAUM · $276M to $307M
        Mar 21, 2016 to Mar 15, 2017
      • RAUM · $276M to $307M
        Mar 21, 2016 to Mar 15, 2017
      • Accounts · 169 to 195
        Mar 9, 2015 to Mar 21, 2016
      • Financial planning clients · 1-10 to 11-25
        Mar 9, 2015 to Mar 21, 2016
      • Discretionary RAUM · $262M to $276M
        Mar 9, 2015 to Mar 21, 2016
      • RAUM · $262M to $276M
        Mar 9, 2015 to Mar 21, 2016
      • Accounts · 154 to 169
        Mar 25, 2014 to Mar 9, 2015
      • Employees · 5 to 4
        Mar 25, 2014 to Mar 9, 2015
      • Financial planning clients · 11-25 to 1-10
        Mar 25, 2014 to Mar 9, 2015
      • Discretionary RAUM · $267M to $262M
        Mar 25, 2014 to Mar 9, 2015
      • RAUM · $267M to $262M
        Mar 25, 2014 to Mar 9, 2015
      • Accounts · 122 to 154
        Mar 25, 2013 to Mar 25, 2014
      • Employees · 7 to 5
        Mar 25, 2013 to Mar 25, 2014
      • Financial planning clients · 1-10 to 11-25
        Mar 25, 2013 to Mar 25, 2014
      • Discretionary RAUM · $223M to $267M
        Mar 25, 2013 to Mar 25, 2014
      • RAUM · $223M to $267M
        Mar 25, 2013 to Mar 25, 2014
      • Accounts · 99 to 122
        Jan 14, 2013 to Mar 25, 2013
      • Employees · 3 to 7
        Jan 14, 2013 to Mar 25, 2013
      • Discretionary RAUM · $167M to $223M
        Jan 14, 2013 to Mar 25, 2013
      • RAUM · $167M to $223M
        Jan 14, 2013 to Mar 25, 2013
      • Related insurance company · false to true
        Jan 14, 2013 to Mar 25, 2013
      • Advisory employees · unset to 1.0
        May 9, 2012 to Jan 14, 2013
      • BD registered reps · unset to 0.0
        May 9, 2012 to Jan 14, 2013
      • Employees · unset to 3.0
        May 9, 2012 to Jan 14, 2013
      • State-registered IARs · unset to 0.0
        May 9, 2012 to Jan 14, 2013
      • Business name · L•••••• F•••••••• L•• to L•••••• F••••• O••••••• L••
        Feb 14, 2012 to May 9, 2012
      • Legal name · L•••••• F•••••••• L•• to L•••••• F••••• O••••••• L••
        Feb 14, 2012 to May 9, 2012
      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
      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