DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

E•••••• C•••••• G••••• L••

CRD 332775

NEWPORT BEACH, CA

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Search this name across graphs

Data as of Jan 23, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 7
On other graphs: 0
Observed: Aug 19, 2024 to Jan 23, 2025
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• F•••••••• • I•••••••• S•••••••• L••	MANAGING MEMBER	D	yes	07/2024	Aug 19, 2024	Sep 19, 2024
I••••• J•••• T•••••	Owner	E	yes	01/2024	Aug 23, 2024	Sep 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••• W••••• A•••••••• L••	n/a	State registered	$29.4M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jan 23, 2025	$0	$0	5	2	0	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	5	n/a	0	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••• W••••• A•••••••• L••	2	Apr 9, 2025	May 2, 2025	NEWPORT BEACH, CA	Team lift out	Other	100.0%

Relationships

Affiliated with (1)

→ E•••••• W••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Moved with (1)

→ E•••••• W••••• A•••••••• L••Registered adviser2 advisors, team lift out, same day
Apr 9, 2025 to May 2, 2025factForm ADV

Registered with (2)

← J•••• A•••••• T•••••••Advisorregistration: previous registration
Sep 26, 2024 to Apr 9, 2025fact

Dated events

Order

Occurred
2 May 2025
Left the SEC roster
••• Locked
Form ADV
Occurred
9 Apr 2025
Advisor changed firm2 events
E•••••• C•••••• G••••• L••: advisor changed firm, 2 counterparties, on 9 Apr 2025
- ••• Locked
- ••• Locked
Occurred
9 Apr 2025
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
23 Aug 2024
Control person joined2 events
E•••••• C•••••• G••••• L••: control person joined, 2 events, on 23 Aug 2024
- ••• Locked
- ••• Locked
Occurred
19 Aug 2024
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Aug 19, 2024
Last observed: Jan 23, 2025 20 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.