DFX Intelligence

E••••••••• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••••••• I••••••••• M••••••••• L••

CRD 145420

BALTIMORE, MD

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Search this name across graphsid dfx:ria:1c6dfe03-25b5-7a11-4f72-6fcde664ba1e

Data as of Mar 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 31
Dated events: 13
On other graphs: 0
Observed: Mar 27, 2012 to Mar 16, 2026
44 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0 bank_owner=false
Regulatory AUM: $221M••• Locked
Discretionary RAUM: $221M
Private client RAUM: $221Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $44.2M

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• S•••• S••••••	n/a	BALTIMORE, MD	16	20	2	no
T•••••• M•••••• M•••••	n/a	BOSTON, MA	16	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• R•••••• G•••••	CHIEF INVESTMENT OFFICER	Na	yes	03/2019	Mar 26, 2019	Nov 20, 2024
M•••••••• C••••••••• M•••	VICE PRESIDENT	Na	yes	10/2018	Nov 15, 2018	Nov 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• N••••••• • C••••••• I•••••••••	n/a	National bd RIA	$198B	N	yes	Mo
1••• I••••••••• C••••••• L••	n/a	I•••••••••_WEALTH	$26B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boston	Ma	United States	2	yes
Vail	Co	United States	1	no
VERO BEACH	FL	United States	1	yes
Bluffton	Sc	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$221M	$223M	-0.8%	$184M	6.3%	14	14	5	5

Relationships

Affiliated with (18)

← S••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← S•••••• N••••••• • C••••••• I•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
← 1••• I••••••••• C••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← W••••••••• C••••••• A••••••• L••Registered adviser

Dated events

Occurred
Jun 5, 2024
Control person left
Eric Richard Cripps (Senior Investment Strategist) no longer on Schedule A of E••••••••• I••••••••• M••••••••• L•• (listed 2024-03-28, absent 2024-06-05)
Form ADVobserved 7 days ago
Occurred
Jul 1, 2021
Control person left
P Christopher Hayes (Chief Compliance Officer) no longer on Schedule A of E••••••••• I••••••••• M••••••••• L•• (listed 2021-04-13, absent 2021-07-01)
Form ADVobserved 7 days ago
Occurred
Jul 1, 2021
Control person left
Chih-Hao M•••••• Chien (Secretary) no longer on Schedule A of E••••••••• I••••••••• M••••••••• L•• (listed 2021-04-13, absent 2021-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1c6dfe03-25b5-7a11-4f72-6fcde664ba1e
First observed: Mar 27, 2012
Last observed: Mar 16, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.