DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

E•••••••• P••••••• L••••••

CRD 132796

E••••••••, MIDLOTHIAN

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Search this name across graphsid dfx:ria:597eccc7-2712-7160-d1ef-b03948099509

Data as of Feb 15, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 56
Dated events: 2
On other graphs: 0
Observed: Feb 22, 2012 to Feb 15, 2021
32 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: $4.2B••• Locked
Discretionary RAUM: $4.2B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 53
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• P•••• J•••	NON EXECUTIVE DIRECTOR	Na	yes	05/2018	May 21, 2018	Feb 15, 2021
F••••••• R••••••••• I••	PARENT CORPORATION OF REGISTRANT	E	yes	05/2018	May 21, 2018	Feb 15, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••••••• A•••••••• I•••	n/a	Asset manager	$509B	N	yes	n/a
W•••••• A•••• M••••••••• C••••••• L••	n/a	Asset manager	$185B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$4.2B	$8.2B	-48.4%	$8.6B	-21.1%	53	57	0	0

Relationships

Affiliated with (48)

← F••••••• T•••••••• P•••••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← F•••••••• I••••••••• M••••••••• I••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← K• A•••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV
→ F••••••• A•••••••• I•••Registered adviser

Dated events

Occurred
Dec 17, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$-3.9B
Occurred
May 13, 2019
Control person left
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:597eccc7-2712-7160-d1ef-b03948099509
First observed: Feb 22, 2012
Last observed: Feb 15, 2021 68 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.