DFX Intelligence

E•••••• C•••••• M••••••••• 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•••••• C•••••• M••••••••• L••

CRD 42159

ARLINGTON, VA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:662a9c6e-554b-17ce-0170-174ae5af2226

Data as of Aug 21, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1,522
Dated events: 40
On other graphs: 0
Observed: Mar 30, 2012 to Aug 21, 2023
48 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: $7.4B••• Locked
Discretionary RAUM: $7.4B
Private client RAUM: $7.4Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••• H•••••••• L••	SOLE OWNER	E	yes	08/2011	Mar 29, 2016	Aug 21, 2023
F•••• J••	ELECTED MANAGER	Na	yes	10/2020	Oct 29, 2020	Aug 21, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• S•••••• S•••• B••••• L••	n/a	Wirehouse	$1962B	N	yes	n/a
M••••• S•••••• I••••••••• M••••••••• I•••	n/a	Asset manager	$702B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Alpharetta	Ga	United States	72	yes
Alpharetta	Ga	United States	55	yes
JERSEY CITY	Nj	United States	50	yes
Sandy	Ut	United States	48	yes
Washington	Dc	United States

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$7.4B	$12B	-39.4%	$7.8B	-1.7%	0	0	33	33

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• S••••••	2	Aug 21, 2023	Jan 4, 2023	MORRISTOWN, NJ	Channel change	RIA to wirehouse	0.4%
C••••••• S••••••••• I•••	2	Aug 21, 2023	Dec 1, 2023

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
V••••••• A•••••••• I•••	2	Jul 7, 2022	Jul 18, 2022	CHARLOTTE, NC	Team lift out	Ibd to RIA	0.1%
F••••••• P••••••• A•• W•••••••• A•••••••	2	Jun 28, 2022	Aug 5, 2022

Relationships

showing 80 of 1,522

Affiliated with (5)

← M••••• S•••••• I••••••••• M••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
← M••••• S•••••• I••••••••• M••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ M••••• S•••••• I••••••••• M••••••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C••••••••• G•••• A••••••• S••••••• L••

Dated events

Occurred
Sep 7, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 5, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 5, 2023
Advisor departed, no destination yet
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 5, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:662a9c6e-554b-17ce-0170-174ae5af2226
First observed: Mar 30, 2012
Last observed: Aug 21, 2023 37 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.