DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

E•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••

E•••••• FINANCIAL, LLC, CRD 340506

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Search this name across graphsid dfx:ria:a5e359c8-410b-a027-795d-af27d632fae5

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2026 to Sep 2, 2026
4 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=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $5.8B••• Locked
Discretionary RAUM: $5.8B
Private client RAUM: $5.8Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $1.5Bderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• B••• S•••••••	n/a	MCLEAN, VA	0	20	1	no
L•••• J••• K••••	Certified Financial Planner	Santa Cruz, CA \| MCLEAN, VA	0	20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• K•••••••• L•••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2026	Sep 2, 2026	Sep 2, 2026
S•••••••• D••••• B•••	OWNER, INVESTMENT ADVISOR REPRESENTATIVE	E	yes	02/2026	Sep 2, 2026	Sep 2, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 22, 2026	$5.8B	$5.8B	6	4	0	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
4	0	4	0.0%	0	0	0	4	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	$5.8B	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••••• A•••• M••••••••• L••	4	Apr 23, 2026	Apr 28, 2026	CARMEL, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (2)

← A••••• K•••••••• L•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 2, 2026 to presentfactForm ADV
← S•••••••• D••••• B•••OwnerOWNER, INVESTMENT ADVISOR REPRESENTATIVE, ownership code E, individual
Sep 2, 2026 to presentfactForm ADV

Registered with (4)

← D•••• B••• S•••••••Advisorregistration: current employment
Apr 28, 2026 to presentfactForm ADV
← L•••• J••• K••••

Dated events

Occurred
Apr 23, 2026
Firm absorbed
••• Locked
Form ADVobserved 7 days ago
4 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a5e359c8-410b-a027-795d-af27d632fae5
First observed: Mar 31, 2026
Last observed: Sep 2, 2026 20 days 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.