DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W•••••••• I••••••••• A•••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Jun 15, 2017 · 24 filings
SEC status approved since Jul 18, 2017
RAUM
$6.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$6.4M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$714,861
derived; firm RAUM over IAPD count
Employees
11
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$6.4M as of Apr 28, 2026
Mar 29, 2018$800,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Apr 28, 2026
Mar 29, 20184 then
Employees (5.A)11 as of Apr 28, 2026
Mar 29, 20187 then
Private funds: no history
RAUM +21% over the last fiscal year+25% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
- RAUM per advisor
- $714,861derivedRAUM 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
- $60,696derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 2.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $6,963, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.4M100%
- Individual clients
- 46reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 106reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6,963 for 1 clientsreported
- 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=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- S•••• E•••••••• K•••••••• B••••••• from M••••• S•••••• D• I•••Jan 1, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• B•••••• F••••• · Cco/Ownercontrolsince 04/2017 · owns 75% or more
Entity owners
- B••••• F• R•••• T••• O• T•• B••••• F• R••• T•••• D•••• D••••••• 1•• 1••• · Ownerdirect · owns 75% or more
- T•• R••• P••••••••• L•• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• R••• P••••••••• L••investment adviseryRAUM $985M
Advisers that list W•••••••• I••••••••• A•••••••• L•• as a related person
- 135701 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Honolulu, Hi · principal | 9 | 0 | 0 | ||
| San Luis Obispo, Ca | 3 | 0 | 0 | ||
| Kahului, Maui, Hi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Kahului,Maui, HI1 employees
- Paso Robles, CA1 employees
- San Luis Obispo, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 113 to 106Sep 29, 2025 to Mar 25, 2026
- Advisory employees · 9 to 10Sep 29, 2025 to Mar 25, 2026
- Individual clients · 66 to 46Sep 29, 2025 to Mar 25, 2026
- Assets in custody · unset to 6963.0Sep 29, 2025 to Mar 25, 2026
- Custody of client assets · false to trueSep 29, 2025 to Mar 25, 2026
- Insurance-licensed employees · 9 to 10Sep 29, 2025 to Mar 25, 2026
- State-registered IARs · 9 to 10Sep 29, 2025 to Mar 25, 2026
- Discretionary RAUM · $5.3M to $6.4MSep 29, 2025 to Mar 25, 2026
- Individual RAUM · $5.3M to $6.4MSep 29, 2025 to Mar 25, 2026
- RAUM · $5.3M to $6.4MSep 29, 2025 to Mar 25, 2026
- Accounts · 105 to 113Mar 28, 2024 to Mar 26, 2025
- Advisory employees · 6 to 9Mar 28, 2024 to Mar 26, 2025
- Individual clients · 68 to 66Mar 28, 2024 to Mar 26, 2025
- Employees · 9 to 11Mar 28, 2024 to Mar 26, 2025
- Insurance-licensed employees · 6 to 9Mar 28, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 1-10Mar 28, 2024 to Mar 26, 2025
- State-registered IARs · 6 to 9Mar 28, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.4M to $5.3MMar 28, 2024 to Mar 26, 2025
- Individual RAUM · $4.4M to $5.3MMar 28, 2024 to Mar 26, 2025
- RAUM · $4.4M to $5.3MMar 28, 2024 to Mar 26, 2025
- Accounts · 100 to 105Sep 26, 2023 to Mar 28, 2024
- Advisory activities · 5 to 4Sep 26, 2023 to Mar 28, 2024
- Individual clients · 64 to 68Sep 26, 2023 to Mar 28, 2024
- Employees · 7 to 9Sep 26, 2023 to Mar 28, 2024
- Financial planning clients · 1-10 to 11-25Sep 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.3M to $4.4MSep 26, 2023 to Mar 28, 2024
- Individual RAUM · $3.3M to $4.4MSep 26, 2023 to Mar 28, 2024
- RAUM · $3.3M to $4.4MSep 26, 2023 to Mar 28, 2024
- Accounts · 74 to 100Mar 9, 2023 to Mar 28, 2023
- Individual clients · 40 to 64Mar 9, 2023 to Mar 28, 2023
- Financial planning clients · 11-25 to 1-10Mar 9, 2023 to Mar 28, 2023
- Discretionary RAUM · $3.0M to $3.3MMar 9, 2023 to Mar 28, 2023
- Individual RAUM · $3.0M to $3.3MMar 9, 2023 to Mar 28, 2023
- RAUM · $3.0M to $3.3MMar 9, 2023 to Mar 28, 2023
- Accounts · 54 to 74Sep 28, 2021 to Mar 30, 2022
- Advisory employees · 5 to 6Sep 28, 2021 to Mar 30, 2022
- Individual clients · 30 to 40Sep 28, 2021 to Mar 30, 2022
- Employees · 6 to 7Sep 28, 2021 to Mar 30, 2022
- Insurance-licensed employees · 5 to 6Sep 28, 2021 to Mar 30, 2022
- State-registered IARs · 5 to 6Sep 28, 2021 to Mar 30, 2022
Signals
1 dated events
- W•••••••• I••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2017 · 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
- Firm profile
- LINKEDIN.COM/COMPANY/W••••••••reportedpublic record, Form ADV, Sep 21, 2026
- Website
- MYW••••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (808) 585-7788reportedpublic record, Form ADV, Apr 28, 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
- $714,861derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026