DFX Intelligence

Data Factory

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

ELIOT FINKEL INVESTMENT COUNSEL, LLC

CRD 104695

BEVERLY HILLS, CA

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:70e158e6-d9c8-341b-bf36-b15fb04fcb41

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Feb 24, 2012 to Mar 30, 2026
23 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $187MItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $187M
Private client RAUM: $181MderivedItem 5.D individuals plus high net worth individuals
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $187Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book
Employees: 3
Advisory employees: 1
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 174
Individual clients: 33
High net worth clients: 38
SEC number: 801-10139
CIK: 1641643
CRD: 104695
Filings on the tape: 23
First filed: Feb 24, 2012
Latest filed: Mar 30, 2026
Organised: Limited Liability Company, CA
Website: efinvest.com

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
PETER HELLER FINKEL	Chartered Financial Analyst	BEVERLY HILLS, CA \| San Francisco, CA	6	28	n/a	no

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
FINKEL, ELIOT, MICHELOW	MANAGING MEMBER	E	yes	09/1974	Feb 24, 2012	Nov 25, 2024
FINKEL, PETER, HELLER	MEMBER, CHIEF COMPLIANCE OFFICER	Na	yes	01/2004	Feb 24, 2012	Nov 25, 2024

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$187M	$187M	3	1	1	n/a	n/a
2024	Mar 18, 2025	$184M	$184M	3	1	1	n/a	n/a
2023	Mar 29, 2024	$174M	$174M	3	1	1	n/a	n/a
2022	Mar 31, 2023	$179M	$179M	3	1	1	n/a	n/a
2021	Mar 30, 2022	$210M	$210M	3	1	1	n/a	n/a
2020	Mar 25, 2021	$156M	$156M	3	3	1	n/a	n/a
2019	Apr 23, 2020	$164M	$164M	3	3	1	n/a	n/a
2018	Mar 21, 2019	$148M	$148M	3	3	2	n/a	n/a
2017	Mar 21, 2018	$166M	$166M	3	3	2	n/a	n/a
2016	Mar 9, 2017	$141M	$141M	3	3	n/a	n/a	n/a
2015	Mar 4, 2016	$125M	$125M	3	3	n/a	n/a	n/a
2014	Mar 16, 2015	$147M	$147M	4	4	n/a	n/a	n/a
2013	Feb 25, 2014	$137M	$137M	3	3	n/a	n/a	n/a
2012	Mar 27, 2013	$101M	$101M	3	3	n/a	n/a	n/a
2011	Feb 24, 2012	$90.6M	$90.6M	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$187M	$184M	1.8%	$179M	1.5%	3	3	1	1

Relationships

Registered with (1)

← PETER HELLER FINKELAdvisorregistration: current employment
Mar 4, 2020 to presentfactForm ADV

Controls (2)

← FINKEL, PETER, HELLEROwnerMEMBER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 24, 2012 to Nov 25, 2024factForm ADV
← FINKEL, ELIOT, MICHELOWOwnerMANAGING MEMBER, ownership code E, individual
Feb 24, 2012 to Nov 25, 2024factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70e158e6-d9c8-341b-bf36-b15fb04fcb41
First observed: Feb 24, 2012
Last observed: Mar 30, 2026 5 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.

ELIOT FINKEL INVESTMENT COUNSEL, LLC

CRD 104695

BEVERLY HILLS, CA

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:70e158e6-d9c8-341b-bf36-b15fb04fcb41

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:57 AM UTC and rebuilt at most every 15 minutes.

Advisor

Designations

Branch

Years here

In industry

Prior firms

Dual registered

PETER HELLER FINKEL

Chartered Financial Analyst

BEVERLY HILLS, CA | San Francisco, CA

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FINKEL, ELIOT, MICHELOW

MANAGING MEMBER

yes

09/1974

Feb 24, 2012

Nov 25, 2024

FINKEL, PETER, HELLER

MEMBER, CHIEF COMPLIANCE OFFICER

yes

01/2004

Feb 24, 2012

Nov 25, 2024

City

State

Country

Employees

Also broker-dealer

SAN FRANCISCO

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2025

Mar 30, 2026

$187M

n/a

2024

Mar 18, 2025

$184M

n/a

2023

Mar 29, 2024

$174M

n/a

2022

Mar 31, 2023

$179M

n/a

2021

Mar 30, 2022

$210M

n/a

2020

Mar 25, 2021

$156M

n/a

2019

Apr 23, 2020

$164M

n/a

2018

Mar 21, 2019

$148M

n/a

2017

Mar 21, 2018

$166M

n/a

2016

Mar 9, 2017

$141M

n/a

2015

Mar 4, 2016

$125M

n/a

2014

Mar 16, 2015

$147M

n/a

2013

Feb 25, 2014

$137M

n/a

2012

Mar 27, 2013

$101M

n/a

2011

Feb 24, 2012

$90.6M

n/a

Joined, 12m

Left, 12m

Net, 12m

Departure rate, 12m

Joined, 90d

Left, 90d

Left, no destination yet

Joined, 36m

Left, 36m

0.0%

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2025

$187M

$184M

1.8%

$179M

1.5%