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
A•• I••••••••• M•••••••••
Legal name A•••••• C••••••••• P••••••• L••
Latest filing Apr 28, 2026
First filing on the tape Oct 15, 2025 · 3 filings
SEC status approved since Sep 29, 2025
RAUM
$132M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$106M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$44.0M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$132M as of Apr 28, 2026
Oct 15, 2025$0 then
HNW client RAUM$70.2M as of Apr 28, 2026
Jan 21, 2026$70.2M then
State-registered IARs (5.B.3)3 as of Apr 28, 2026
Oct 15, 20253 then
Employees (5.A)4 as of Apr 28, 2026
Oct 15, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $44.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 51derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $283,597derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $418,168, 76 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)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$70.2M53%
- Individuals$36.1M27%
- Corporations and businesses$13.7M10%
- Pension and profit-sharing plans$11.9M9.0%
- Individual clients
- 110reported
- HNW clients
- 42reported
- Pension plan clients
- 12reported
- Charitable clients
- 0reported
- Accounts
- 465reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $418,168 for 76 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• N••••••• L••••• | Lihue, Hi | Sep 30, 2025 | 23 y | 7 |
| A••• J••• R•••• | Kailua-Kona, Hi | Sep 30, 2025 | 16 y | 2 |
| J••• M••••• D•••• | Kailua-Kona, Hi | Oct 8, 2025 | 24 y | 4 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- J••• M••••• D•••• from S•••••••• I•••••••••Oct 8, 2025 · Other
- A•••• N••••••• L••••• from S•••••••• I•••••••••Sep 30, 2025 · Other
- A••• J••• R•••• from F•••••••• A•••••••• I••••••••• M•••••••••Sep 30, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• I•••••••••Oct 15, 2018 · Seattle, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• A••••• N••••••• · Ccocontrolsince 08/2025 · owns less than 5%
- R••••• A•••• J••• · Ceocontrolsince 08/2025 · 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 |
|---|---|---|---|---|---|
| Kailuakona, Hi | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 465Oct 15, 2025 to Jan 21, 2026
- Charity clients · unset to 0.0Oct 15, 2025 to Jan 21, 2026
- Corporate clients · unset to 9.0Oct 15, 2025 to Jan 21, 2026
- HNW clients · unset to 42.0Oct 15, 2025 to Jan 21, 2026
- Individual clients · unset to 110.0Oct 15, 2025 to Jan 21, 2026
- Pension plan clients · unset to 12.0Oct 15, 2025 to Jan 21, 2026
- Pooled vehicle clients · unset to 0.0Oct 15, 2025 to Jan 21, 2026
- Assets in custody · unset to 418168.0Oct 15, 2025 to Jan 21, 2026
- Custody of client assets · false to trueOct 15, 2025 to Jan 21, 2026
- Insurance-licensed employees · 3 to 1Oct 15, 2025 to Jan 21, 2026
- Financial planning clients · 0 to 101-250Oct 15, 2025 to Jan 21, 2026
- Discretionary RAUM · $0 to $132MOct 15, 2025 to Jan 21, 2026
- HNW RAUM · unset to 70151697.0Oct 15, 2025 to Jan 21, 2026
- Individual RAUM · unset to 36066153.0Oct 15, 2025 to Jan 21, 2026
- Pension RAUM · unset to 11908962.0Oct 15, 2025 to Jan 21, 2026
- Pooled vehicle RAUM · unset to 0.0Oct 15, 2025 to Jan 21, 2026
- RAUM · $0 to $132MOct 15, 2025 to Jan 21, 2026
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
- Principal office phone
- 808-657-6511reportedpublic 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
- $44.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026