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
H••••••• F•••••• L••
Latest filing Sep 8, 2026
First filing on the tape Apr 22, 2025 · 10 filings
SEC status approved since Apr 25, 2025
RAUM
$14.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$14.2M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$4.7M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$14.2M as of Jul 24, 2026
Apr 22, 2025$0 then
HNW client RAUM$2.0M as of Jul 24, 2026
Aug 21, 2025$122,618 then
State-registered IARs (5.B.3)3 as of Jul 24, 2026
Apr 22, 20251 then
Employees (5.A)4 as of Jul 24, 2026
Apr 22, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 3offices 1 to 3
Practice profile
derived from the filing of Sep 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $4.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 88derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $997,601derivedHNW RAUM over HNW clients
- Average account
- $20,527derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 0.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +300%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$12.2M86%
- High-net-worth individuals$2.0M14%
- Individual clients
- 263reported
- HNW clients
- 2reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 693reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• K•••••• W••••••••• | Ninole, Hi | Jun 1, 2025 | 14 y | 1 |
| S•••• H••••••• | Ninole, Hi | Jan 21, 2026 | 10 y | 1 |
| L••••••• P••• M••••••Certified Financial Planner, Chartered Financial Analyst | Lakeland, Fl | Jan 21, 2026 | 21 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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•••• H••••••• from C••••• A•••••••• L••Jan 21, 2026 · RIA to RIA
- L••••••• P••• M•••••• from E•••• • Y•••• I••••••••• A••••••• L••Jan 21, 2026 · Other
- M•••••• K•••••• W••••••••• from M•• I•••••••• S•••••••• L••Jun 1, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• Z••••••• A••• · Managing Membercontrolsince 10/2017 · owns 75% or more
- W••••••••• M••••••• K•••••• · Chief Compliance Officercontrolsince 02/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ninole, Hi | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Jul 24, 2026 to Sep 8, 2026
- HQ city · to unsetJul 24, 2026 to Sep 8, 2026
- HQ state · to unsetJul 24, 2026 to Sep 8, 2026
- Related adviser · false to unsetJul 24, 2026 to Sep 8, 2026
- Related bank · false to unsetJul 24, 2026 to Sep 8, 2026
- Related broker-dealer · false to unsetJul 24, 2026 to Sep 8, 2026
- Related insurance company · false to unsetJul 24, 2026 to Sep 8, 2026
- Succession · false to unsetJul 24, 2026 to Sep 8, 2026
- Accounts · 377 to 693Apr 27, 2026 to May 28, 2026
- Advisory employees · 4 to 3Apr 27, 2026 to May 28, 2026
- HNW clients · 1 to 2Apr 27, 2026 to May 28, 2026
- Individual clients · 197 to 263Apr 27, 2026 to May 28, 2026
- Employees · 5 to 4Apr 27, 2026 to May 28, 2026
- State-registered IARs · 4 to 3Apr 27, 2026 to May 28, 2026
- Other offices · 4 to 3Apr 27, 2026 to May 28, 2026
- Discretionary RAUM · $7.9M to $14.2MApr 27, 2026 to May 28, 2026
- HNW RAUM · $1.9M to $2.0MApr 27, 2026 to May 28, 2026
- Individual RAUM · $5.9M to $12.2MApr 27, 2026 to May 28, 2026
- RAUM · $7.9M to $14.2MApr 27, 2026 to May 28, 2026
- Accounts · 101 to 377Nov 20, 2025 to Jan 21, 2026
- Advisory employees · 2 to 4Nov 20, 2025 to Jan 21, 2026
- Individual clients · 100 to 197Nov 20, 2025 to Jan 21, 2026
- Employees · 3 to 5Nov 20, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 51-100Nov 20, 2025 to Jan 21, 2026
- State-registered IARs · 2 to 4Nov 20, 2025 to Jan 21, 2026
- Other offices · 2 to 4Nov 20, 2025 to Jan 21, 2026
- Discretionary RAUM · $1.6M to $7.9MNov 20, 2025 to Jan 21, 2026
- HNW RAUM · $122,618 to $1.9MNov 20, 2025 to Jan 21, 2026
- Individual RAUM · $1.5M to $5.9MNov 20, 2025 to Jan 21, 2026
- RAUM · $1.6M to $7.9MNov 20, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 0Aug 21, 2025 to Nov 20, 2025
- Accounts · 0 to 101Jul 9, 2025 to Aug 21, 2025
- HNW clients · unset to 1.0Jul 9, 2025 to Aug 21, 2025
- Individual clients · unset to 100.0Jul 9, 2025 to Aug 21, 2025
- Discretionary RAUM · $0 to $1.6MJul 9, 2025 to Aug 21, 2025
- HNW RAUM · unset to 122618.0Jul 9, 2025 to Aug 21, 2025
- Individual RAUM · unset to 1451513.0Jul 9, 2025 to Aug 21, 2025
- RAUM · $0 to $1.6MJul 9, 2025 to Aug 21, 2025
- Advisory employees · 1 to 2Apr 22, 2025 to Jul 9, 2025
- Employees · 2 to 3Apr 22, 2025 to Jul 9, 2025
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.
How to reach
public business contact points only, each with its source
- Business phone
- 808-437-8171reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- h•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 808-746-7774reportedpublic record, Form ADV, Sep 8, 2026
- Contact form
- h•••••••••.comreportedpublished 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
- $4.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026