DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
E•••••••• C•••••• M••••••••• I••
Latest filing Jul 22, 2026
First filing on the tape Jul 22, 2026 · 1 filings
RAUM
$30.2M
reported, Item 5.F
Discretionary
58%
of RAUM
Private clients
39%
$11.7M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
- RAUM per advisor
- $30.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $382,278derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 58%derivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$12.7M42%
- Individuals$11.7M39%
- Charitable organizations$5.8M19%
- Individual clients
- 75reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 79reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• L•••• G•••• | Omaha, Ne | Oct 4, 2019 | 38 y | 0 |
Advisor movement
Left, latest
- C•••••• C•••••• to L•••• W••••• M•••••••••Jul 17, 2023 · Other
- B•••••• C••••• to L•••• W••••• M•••••••••Jun 13, 2023 · Other
- E••• J••••• J•••••• to L•••• W••••• M•••••••••Jun 13, 2023 · Other
- R•••••• J••••• K•••••• to M•••••• F•••••••• N••••••• L••Jun 12, 2019 · Other
- R••• E••••• B••••• to M•••••• F•••••••• N••••••• L••Jun 12, 2019 · Other
- L•••• M•••••• H•••••••• to H•••••••• • B••••• L••Jan 4, 2017 · Other
Joined, latest
- B•••••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 26, 2020 · Wirehouse to a state-registered adviser
- R•••••• J••••• K•••••• from H••••• I••••••••• M••••••••• L••Aug 30, 2017 · Other
- L•••• M•••••• H•••••••• from B•• H••••• F•••••••• A•••••••• I••Feb 16, 2016 · Other
- C•••••• C•••••• from W•••••• • R•••Nov 7, 2013 · Other
- E••• J••••• J•••••• from W•••••• • R•••Jan 25, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
3 dated events
- C•••••• C•••••• left E•••••••• C•••••• M••••••••• I•• for L•••• W••••• M••••••••• (registered 2023-07-18)Jul 17, 2023 · Advisor changed firm · fact
- E••• J••••• J•••••• left E•••••••• C•••••• M••••••••• I•• for L•••• W••••• M••••••••• (registered 2023-04-24)Jun 13, 2023 · Advisor changed firm · fact
- B•••••• C••••• left E•••••••• C•••••• M••••••••• I•• for L•••• W••••• M••••••••• (registered 2023-06-14)Jun 13, 2023 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 402-392-1220reportedpublic record, Form ADV, Jul 22, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026