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
S•••••••• F•••••••• G•••• A•••••••
Legal name S••• L••
Latest filing May 6, 2026
First filing on the tape Feb 16, 2016 · 17 filings
SEC status approved since Feb 18, 2016
RAUM
$110M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$22.0M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$110M as of May 6, 2026
Jan 20, 2017$108M then
HNW client RAUM$41.0M as of May 6, 2026
Jan 17, 2018$18.3M then
State-registered IARs (5.B.3)5 as of May 6, 2026
Jan 20, 20176 then
Employees (5.A)5 as of May 6, 2026
Jan 20, 20176 then
Private funds: no history
RAUM -6.6% over the last fiscal year-6.0% a year over threeIARs 5 to 5
Practice profile
derived from the filing of May 6, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $22.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 92derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $518,915derivedHNW RAUM over HNW clients
- Average account
- $109,845derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.8%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$68.6M62%
- High-net-worth individuals$41.0M37%
- Pension and profit-sharing plans$508,3570.5%
- Individual clients
- 379reported
- HNW clients
- 79reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,002reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=5.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• L•••• W••• | Honolulu, Hi | Jan 7, 2014 | 28 y | 4 |
| H•••••• S••••••• S•••••••• | Honolulu, Hi | Jan 17, 2014 | 27 y | 4 |
| K•••••• K••• K••••••• | Honolulu, Hi | Feb 25, 2014 | 19 y | 3 |
| G•••• T•••••• A••••Certified Financial Planner, Chartered Financial Analyst | Honolulu, Hi | Feb 25, 2014 | 20 y | 2 |
| G••••• T••••••• E•••••• | Hilo, Hi | Aug 29, 2016 | 19 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount2 left over 36 months
Left, latest
- J••• H• K•• to L•• F•••••••• L••Apr 30, 2026 · RIA to affiliated broker-dealer or bank
- H••• C•••••• M••••• to C••••• I••••••••• A••••••• L••Jan 17, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• H• K•• from D•••••••• A••••••• S•••••••• L••May 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- G••••• T••••••• E•••••• from J• W• C••• A•••••••• I•••Aug 29, 2016 · Other
- K•••••• K••• K••••••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Feb 25, 2014 · Other
- G•••• T•••••• A•••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Feb 25, 2014 · Other
- H•••••• S••••••• S•••••••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jan 17, 2014 · Other
- H••• C•••••• M••••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jan 7, 2014 · Other
- J•••• L•••• W••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jan 7, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••••• H••••••• S••••••• · Managing Membercontrolsince 07/2013 · owns 75% or more
- A••••• G••••• T•••••• · Chief Compliance Officersince 01/2023 · owns less than 5%
Related persons
Schedule D 7.A
- S••• L•••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Honolulu, Hi · principal | 5 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Hilo, HI5 employees
What changed
consecutive filings, newest first
- Employees · 6 to 5Feb 6, 2026 to May 6, 2026
- Advisory employees · 6 to 5Feb 6, 2026 to May 6, 2026
- BD registered reps · 6 to 5Feb 6, 2026 to May 6, 2026
- State-registered IARs · 6 to 5Feb 6, 2026 to May 6, 2026
- Accounts · 1,110 to 1,002Feb 5, 2025 to Feb 6, 2026
- Advisory employees · 5 to 6Feb 5, 2025 to Feb 6, 2026
- BD registered reps · 5 to 6Feb 5, 2025 to Feb 6, 2026
- HNW clients · 58 to 79Feb 5, 2025 to Feb 6, 2026
- Individual clients · 439 to 379Feb 5, 2025 to Feb 6, 2026
- Employees · 5 to 6Feb 5, 2025 to Feb 6, 2026
- State-registered IARs · 5 to 6Feb 5, 2025 to Feb 6, 2026
- Discretionary RAUM · $115M to $107MFeb 5, 2025 to Feb 6, 2026
- HNW RAUM · $33.2M to $41.0MFeb 5, 2025 to Feb 6, 2026
- Individual RAUM · $84.5M to $68.6MFeb 5, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $2.8M to $2.9MFeb 5, 2025 to Feb 6, 2026
- Pension RAUM · $142,382 to $508,357Feb 5, 2025 to Feb 6, 2026
- RAUM · $118M to $110MFeb 5, 2025 to Feb 6, 2026
- Accounts · 1,151 to 1,110Mar 1, 2024 to Feb 5, 2025
- Advisory employees · 6 to 5Mar 1, 2024 to Feb 5, 2025
- BD registered reps · 6 to 5Mar 1, 2024 to Feb 5, 2025
- HNW clients · 66 to 58Mar 1, 2024 to Feb 5, 2025
- Individual clients · 444 to 439Mar 1, 2024 to Feb 5, 2025
- Employees · 6 to 5Mar 1, 2024 to Feb 5, 2025
- Financial planning clients · 26-50 to 26-50Mar 1, 2024 to Feb 5, 2025
- State-registered IARs · 6 to 5Mar 1, 2024 to Feb 5, 2025
- Discretionary RAUM · $120M to $115MMar 1, 2024 to Feb 5, 2025
- HNW RAUM · $38.0M to $33.2MMar 1, 2024 to Feb 5, 2025
- Individual RAUM · $84.7M to $84.5MMar 1, 2024 to Feb 5, 2025
- Non-discretionary RAUM · $4.7M to $2.8MMar 1, 2024 to Feb 5, 2025
- Pension RAUM · $2.3M to $142,382Mar 1, 2024 to Feb 5, 2025
- RAUM · $125M to $118MMar 1, 2024 to Feb 5, 2025
- Accounts · 1,232 to 1,151Jan 20, 2023 to Mar 1, 2024
- HNW clients · 31 to 66Jan 20, 2023 to Mar 1, 2024
- Individual clients · 505 to 444Jan 20, 2023 to Mar 1, 2024
- Discretionary RAUM · $127M to $120MJan 20, 2023 to Mar 1, 2024
- HNW RAUM · $21.1M to $38.0MJan 20, 2023 to Mar 1, 2024
- Individual RAUM · $109M to $84.7MJan 20, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $6.0M to $4.7MJan 20, 2023 to Mar 1, 2024
- Pension RAUM · $2.3M to $2.3MJan 20, 2023 to Mar 1, 2024
- RAUM · $133M to $125MJan 20, 2023 to Mar 1, 2024
Signals
4 dated events
- J••• H• K•• left S•••••••• F•••••••• G•••• A••••••• for L•• F•••••••• L•• (registered 2026-05-04)Apr 30, 2026 · Advisor changed firm · fact
- H••• C•••••• M••••• left S•••••••• F•••••••• G•••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2025-01-17)Jan 17, 2025 · Advisor changed firm · fact
- Lloyd Jason Wong (Chief Compliance Officer) no longer on Schedule A of S•••••••• F•••••••• G•••• A••••••• (listed 2022-02-22, absent 2023-01-20)Jan 20, 2023 · Control person left · inference
- S•••••••• F•••••••• G•••• A••••••• filed its initial SEC registration (Form ADV)Feb 16, 2016 · 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 email
- info@shiraishifinancialgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-986-6500reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 808-942-7601reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 808-951-7185reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808 951-7185reportedpublic record, Form ADV, May 6, 2026
- Team page
- shiraishifinancialgroup.com/our-teamreportedpublished 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
- $22.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026