SHIRAISHI FINANCIAL GROUP ADVISORS
SFGA LLC Legal Name
Adviser information for SHIRAISHI FINANCIAL GROUP ADVISORS last updated from Form ADV on March 1st, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Hawaii, United States |
Employees
| Total Number of Employees | 6 |
|---|---|
| Investment Advisory/Research | 6 |
| Registered Broker-Dealer Representatives | 6 |
| Registered State Investment Advisers | 6 |
| Licensed Agents of an Insurance Company | 6 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1,132 | $120.3M |
| Non-Discretionary | 19 | $4.7M |
| Total | 1,151 | $125.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 444 | $84.7M |
| HNW Individuals | 66 | $38.0M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | <5 | $2.3M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 26-50 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesREFERRAL FEES FROM THIRD-PARTY INVESTMENT ADVISERS |
Identifiers
| SEC RIA File Number | 801-107307 |
|---|---|
| SEC ERA File Number | 801-107307 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 168645 |
| Legal Entity Identifier | None |
Principal Office
1357 KAPIOLANI BLVDSTE 1140
HONOLULU
HI
United States
Monday - Friday, 9:00 AM TO 4:00 PM
Tel: 808 951-7185, Fax: 808-942-7601
Websites
Chief Compliance Officer
GRANT ARITA
CHIEF COMPLIANCE OFFICER
1357 KAPIOLANI BLVD
STE 1140
HONOLULU
HI
United States
Tel:
808-951-7185
Fax:
808-942-7601
G****@**************************M
(Full email address available in API data)
Industry Affiliates
| SHIRAISHI FINANCIAL GROUP | Insurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SHIRAISHI, HERBERT, SUEKICHI | Individual | – | MANAGING MEMBER | 07/2013 | > 75% |
| ARITA, GRANT, TATSURO | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |