Wheeler E. Chapman

KOKUA CAPITAL MANAGEMENT

CHAPEL HILL, NC

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CRD#: 1576966

Professional summary

Wheeler Elliott Chapman III is a registered financial advisor currently at KOKUA CAPITAL MANAGEMENT located in Chapel Hill, North Carolina.

Wheeler is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Wheeler has worked at 4 firms .

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wheeler Elliott Chapman III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 16, 2013 - Present

KOKUA CAPITAL MANAGEMENT

RIA

CRD#: 168439

CHAPEL HILL, NC

Past

August 12, 2016 - December 18, 2024

KOKUA CAPITAL MANAGEMENT, LLC

RIA

CRD#: 284074

Lake Zurich, IL

Past

October 3, 2008 - August 16, 2013

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

NORTHBROOK, IL

Past

September 6, 1997 - March 4, 2009

INTEGRATED FINANCIAL MANAGEMENT INC

RIA

CRD#: 106672

NORTHBROOK, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KOKUA CAPITAL MANAGEMENT

CHAPMAN FINANCIAL GROUP | KOKUA CAPITAL MANAGEMENT | IFM, LLC | IFM | CHAPMAN FINANCIAL GROUP, LLC

CRD#: 168439 / SEC#: 801-123439

RIA

Registered Investment Advisory firm - (3/11/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/17/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (6/20/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/17/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(8/16/2013)

IAR

Texas
(8/24/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

Current Firm

KOKUA CAPITAL MANAGEMENT

CHAPMAN FINANCIAL GROUP | KOKUA CAPITAL MANAGEMENT | IFM, LLC | IFM | CHAPMAN FINANCIAL GROUP, LLC

CRD#: 168439 / SEC#: 801-123439

RIA

Registered Investment Advisory firm - (3/11/2022 Approved)

Illinois

Registered Investment Advisory firm - (6/17/2022 Terminated)

North Carolina

Registered Investment Advisory firm - (6/20/2022 Terminated)

Texas

Registered Investment Advisory firm - (6/17/2022 Terminated)

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Contact information

Main Address

Kailua, HI

Mailing Address

Phone number

(312) 994-2390

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE 1.23.25 (1/23/2025)

Regulatory assets under management

Total Number of Accounts	268
AUM (Assets Under Management)	$ 192,050,717

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Wheeler E. Chapman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wheeler Elliott Chapman III's CRS (Customer Relationship Summary).

Certified licenses

Experience

KOKUA CAPITAL MANAGEMENT

KOKUA CAPITAL MANAGEMENT, LLC

UNITED CAPITAL FINANCIAL ADVISORS

INTEGRATED FINANCIAL MANAGEMENT INC

Primary Firm SEC Registration

KOKUA CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Current Firm

KOKUA CAPITAL MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KOKUA CAPITAL MANAGEMENT

TRUST BUT VERIFY

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