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Former SEC-registered adviser

P•••••• W••••• P•••••••• L••

Former SEC-registered adviserCRD 315291SEC 801-122027websiteIAPD
Latest filing Jan 3, 2022
First filing on the tape Jul 6, 2021 · 8 filings
RAUM
$7.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$7.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.1M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$7.1M as of Jan 3, 2022
Jul 6, 2021$0 then
HNW client RAUM$7.1M as of Jan 3, 2022
Oct 26, 2021$7.1M then
State-registered IARs (5.B.3)0 as of Jan 3, 2022
Jul 6, 20210 then
Employees (5.A)1 as of Jan 3, 2022
Jul 6, 20211 then
Private funds: no history
Practice profile
derived from the filing of Jan 3, 2022; every figure names its basis
RAUM per advisor
$7.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$713,178derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$2.5M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$7.1M100%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
10reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.5M for 4 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• F•••••••• U••Certified Financial PlannerHonolulu, HiJan 1, 202518 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • U••• T•••••• F•••••••• · Managing Member And Chief Compliance Officercontrol
      since 08/2021 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 10
      Aug 6, 2021 to Oct 26, 2021
    • HNW clients · unset to 5.0
      Aug 6, 2021 to Oct 26, 2021
    • Assets in custody · unset to 2464423.0
      Aug 6, 2021 to Oct 26, 2021
    • Custody of client assets · false to true
      Aug 6, 2021 to Oct 26, 2021
    • Discretionary RAUM · $0 to $7.1M
      Aug 6, 2021 to Oct 26, 2021
    • HNW RAUM · unset to 7131784.0
      Aug 6, 2021 to Oct 26, 2021
    • RAUM · $0 to $7.1M
      Aug 6, 2021 to Oct 26, 2021
    • HQ city · HONOLULU to unset
      Aug 4, 2021 to Aug 5, 2021
    • HQ state · HI to unset
      Aug 4, 2021 to Aug 5, 2021
    Signals
    1 dated events
    • P•••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
      Jul 6, 2021 · 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
    Website
    p•••••••••.comreportedpublic record, Form ADV, Sep 21, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $7.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026