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G• R•••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Honolulu, Hawaii

Former SEC-registered adviser, based in Honolulu, Hawaii, reporting $158M of regulatory assets.

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

Last reported RAUM
$158M
Form ADV
RAUM change, 1 year
-5.4%
Form ADV, consecutive annual filings
Private clients
37%
of RAUM, $58.0M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 21 Mar 2019, RAUM $167M to $158M (-5.4%) on the Form ADV filed 21 Mar 2019, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 167162 · SEC 801-77835 · 18 filingsShow
CRD 167162SEC 801-77835First filing on the tape Mar 22, 2013, latest Mar 21, 2019IAPD
RAUM
$158M
reported, Item 5.F
Discretionary
37%
of RAUM
Private clients
37%
$58.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape

RAUM -0.4% a year over three years · the tape starts Mar 22, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$158M as of Mar 21, 2019
Jan 21, 2014$235M then
HNW client RAUM$50.0M as of Mar 21, 2019
Feb 14, 2018$63.5M then
State-registered IARs (5.B.3)2 as of Mar 21, 2019
Jan 21, 20142 then
Employees (5.A)3 as of Mar 21, 2019
Jan 21, 20143 then
Private funds: no history
RAUM -5.4% over the last fiscal year-0.4% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 2019; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$79.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
15derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.3MderivedHNW RAUM over HNW clients
Average account
$5.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
37%derivedof RAUM
Institutional
63%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.4%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

63% charitable organizations, 32% high-net-worth individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • Charitable organizations$100M63%
  • High-net-worth individuals$50.0M32%
  • Individuals$8.0M5.1%
Individual clients
14reported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
30reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H••••••••• T•••• L• · Chief Compliance Officercontrol
        since 02/2016 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY1 employee
      What changed
      consecutive filings, newest first
      • Accounts · 31 to 30
        Feb 14, 2018 to Mar 21, 2019
      • HNW clients · 30 to 15
        Feb 14, 2018 to Mar 21, 2019
      • Individual clients · unset to 14.0
        Feb 14, 2018 to Mar 21, 2019
      • Financial planning clients · 26-50 to 0
        Feb 14, 2018 to Mar 21, 2019
      • Discretionary RAUM · $65.0M to $58.0M
        Feb 14, 2018 to Mar 21, 2019
      Full history · 58 changes
      • HNW RAUM · $63.5M to $50.0M
        Feb 14, 2018 to Mar 21, 2019
      • Individual RAUM · $300,000 to $8.0M
        Feb 14, 2018 to Mar 21, 2019
      • Non-discretionary RAUM · $102M to $100M
        Feb 14, 2018 to Mar 21, 2019
      • RAUM · $167M to $158M
        Feb 14, 2018 to Mar 21, 2019
      • Accounts · 57 to 31
        Jan 23, 2017 to Feb 14, 2018
      • HNW clients · unset to 30.0
        Jan 23, 2017 to Feb 14, 2018
      • Other offices · unset to 1.0
        Jan 23, 2017 to Feb 14, 2018
      • Discretionary RAUM · $59.0M to $65.0M
        Jan 23, 2017 to Feb 14, 2018
      • HNW RAUM · unset to 63500000.0
        Jan 23, 2017 to Feb 14, 2018
      • Individual RAUM · unset to 300000.0
        Jan 23, 2017 to Feb 14, 2018
      • RAUM · $161M to $167M
        Jan 23, 2017 to Feb 14, 2018
      • Accounts · 58 to 57
        Mar 3, 2016 to Jan 23, 2017
      • Discretionary RAUM · $60.0M to $59.0M
        Mar 3, 2016 to Jan 23, 2017
      • Non-discretionary RAUM · $100M to $102M
        Mar 3, 2016 to Jan 23, 2017
      • RAUM · $160M to $161M
        Mar 3, 2016 to Jan 23, 2017
      • Accounts · 33 to 58
        Jun 5, 2015 to Mar 3, 2016
      • Discretionary RAUM · $107M to $60.0M
        Jun 5, 2015 to Mar 3, 2016
      • Non-discretionary RAUM · $112M to $100M
        Jun 5, 2015 to Mar 3, 2016
      • RAUM · $219M to $160M
        Jun 5, 2015 to Mar 3, 2016
      • Advisory employees · 1 to 2
        Mar 11, 2015 to Jun 5, 2015
      • Advisory activities · 2 to 3
        Mar 11, 2015 to Jun 5, 2015
      • Employees · 2 to 3
        Mar 11, 2015 to Jun 5, 2015
      • State-registered IARs · 1 to 2
        Mar 11, 2015 to Jun 5, 2015
      • Accounts · 35 to 33
        Nov 20, 2014 to Mar 11, 2015
      • Advisory employees · 2 to 1
        Nov 20, 2014 to Mar 11, 2015
      • Employees · 3 to 2
        Nov 20, 2014 to Mar 11, 2015
      • State-registered IARs · 2 to 1
        Nov 20, 2014 to Mar 11, 2015
      • Discretionary RAUM · $123M to $107M
        Nov 20, 2014 to Mar 11, 2015
      • Non-discretionary RAUM · $113M to $112M
        Nov 20, 2014 to Mar 11, 2015
      • RAUM · $235M to $219M
        Nov 20, 2014 to Mar 11, 2015
      • HQ city · unset to HONOLULU
        Jun 10, 2014 to Nov 20, 2014
      • HQ state · unset to HI
        Jun 10, 2014 to Nov 20, 2014
      • Accounts · 40 to 35
        Dec 11, 2013 to Jan 21, 2014
      • Discretionary RAUM · $113M to $123M
        Dec 11, 2013 to Jan 21, 2014
      • Non-discretionary RAUM · $110M to $113M
        Dec 11, 2013 to Jan 21, 2014
      • RAUM · $223M to $235M
        Dec 11, 2013 to Jan 21, 2014
      • Legal name · G• R•••• A•••• M••••••••• I••• to G• R•••• A•••• M••••••••• L••
        Dec 3, 2013 to Dec 10, 2013
      • Business name · G• R•••• A•••• M••••••••• I••• to G• R•••• A•••• M••••••••• L••
        Nov 18, 2013 to Dec 3, 2013
      • Succession · true to false
        Nov 18, 2013 to Dec 3, 2013
      • Advisory employees · 1 to 2
        Aug 7, 2013 to Nov 18, 2013
      • Employees · 2 to 3
        Aug 7, 2013 to Nov 18, 2013
      • Financial planning clients · 0 to 26-50
        Aug 7, 2013 to Nov 18, 2013
      • HQ city · NEW YORK to unset
        Aug 7, 2013 to Nov 18, 2013
      • HQ state · NY to unset
        Aug 7, 2013 to Nov 18, 2013
      • State-registered IARs · 1 to 2
        Aug 7, 2013 to Nov 18, 2013
      • Organization form · Corporation to Limited Liability Company
        Aug 7, 2013 to Nov 18, 2013
      • Discretionary RAUM · $93.0M to $113M
        Aug 7, 2013 to Nov 18, 2013
      • RAUM · $203M to $223M
        Aug 7, 2013 to Nov 18, 2013
      • Succession · false to true
        Aug 7, 2013 to Nov 18, 2013
      • Accounts · unset to 40.0
        Mar 22, 2013 to Aug 1, 2013
      • Discretionary RAUM · unset to 93000000.0
        Mar 22, 2013 to Aug 1, 2013
      • Non-discretionary RAUM · unset to 110000000.0
        Mar 22, 2013 to Aug 1, 2013
      • RAUM · unset to 203000000.0
        Mar 22, 2013 to Aug 1, 2013
      Signals
      2 dated events
      • ••• Locked
        Nov 18, 2013 · Succession (Item 4) · fact
      • ••• Locked
        Mar 22, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026