April D. Nakayama Frost

KALA CAPITAL

Kailua, HI

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CRD#: 6560115

Professional summary

April Dwyer Nakayama Frost, who also goes by April Dwyer Nakayama, is a registered financial advisor currently at KALA CAPITAL located in Kailua, Hawaii.

April is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. April has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

April Dwyer Nakayama

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 April Dwyer Nakayama Frost'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

April 13, 2021 - Present

KALA CAPITAL

RIA

CRD#: 312316

Kailua, HI

Past

March 28, 2016 - February 8, 2021

FIRST COMMAND ADVISORY SERVICES

RIA

CRD#: 281958

Aiea, HI

Past

January 14, 2016 - February 8, 2021

FIRST COMMAND BROKERAGE SERVICES, INC.

CRD#: 3641

AIEA, HI

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

Hawaii
(4/13/2021)

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

State Security Law Exam

IAR

Series 66

Date: 3/23/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/14/2016

General Securities Representative Examination

Current Firm

KALA CAPITAL

KALA CAPITAL | KALA CAPITAL PARTNERS, LLC

CRD#: 312316 / SEC#: 801-120284

RIA

Registered Investment Advisory firm - (1/25/2022 Terminated)

Hawaii

Registered Investment Advisory firm - (1/19/2022 Approved)

Texas

Registered Investment Advisory firm - (9/9/2021 Conditional Restricted)

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).

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Contact information

Main Address

Kailua, HI

Mailing Address

Phone number

(808) 769-6886

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	285
AUM (Assets Under Management)	$ 24,750,288

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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April D. Nakayama Frost

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view April Dwyer Nakayama Frost's CRS (Customer Relationship Summary).

Certified licenses

Experience

KALA CAPITAL

FIRST COMMAND ADVISORY SERVICES

FIRST COMMAND BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/23/2016

SIE

Date: 10/1/2018

Series 7

Date: 1/14/2016

Current Firm

KALA CAPITAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

KALA CAPITAL

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