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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SEC-registered adviser
E•••• F••••• I••••••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Feb 24, 2012 · 23 filings
SEC status approved since Aug 28, 1974
RAUM
$187M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$181M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$187M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$187M as of Mar 30, 2026
Feb 24, 2012$90.6M then
HNW client RAUM$163M as of Mar 30, 2026
Mar 21, 2018$125M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Mar 27, 20130 then
Employees (5.A)3 as of Mar 30, 2026
Mar 27, 20133 then
Private funds: no history
RAUM +1.8% over the last fiscal year+1.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $187MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 71derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.3MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.6%derived
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$163M87%
- Individuals$17.7M9.5%
- Pension and profit-sharing plans$6.2M3.3%
- Individual clients
- 33reported
- HNW clients
- 38reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 174reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• H••••• F•••••Chartered Financial Analyst | Beverly Hills, Ca | Mar 4, 2020 | 28 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••••• E••••• M••••••• · Managing Membercontrolsince 09/1974 · owns 75% or more
- F•••••• P••••• H••••• · Member, Chief Compliance Officercontrolsince 01/2004 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 183 to 174Mar 18, 2025 to Mar 30, 2026
- HNW clients · 41 to 38Mar 18, 2025 to Mar 30, 2026
- Individual clients · 35 to 33Mar 18, 2025 to Mar 30, 2026
- Pension plan clients · unset to 2.0Mar 18, 2025 to Mar 30, 2026
- Financial planning clients · 1-10 to 0Mar 18, 2025 to Mar 30, 2026
- Discretionary RAUM · $184M to $187MMar 18, 2025 to Mar 30, 2026
- HNW RAUM · $160M to $163MMar 18, 2025 to Mar 30, 2026
- Individual RAUM · $17.9M to $17.7MMar 18, 2025 to Mar 30, 2026
- Pension RAUM · $5.7M to $6.2MMar 18, 2025 to Mar 30, 2026
- RAUM · $184M to $187MMar 18, 2025 to Mar 30, 2026
- Accounts · 198 to 183Nov 25, 2024 to Mar 18, 2025
- HNW clients · 47 to 41Nov 25, 2024 to Mar 18, 2025
- Individual clients · 31 to 35Nov 25, 2024 to Mar 18, 2025
- Pension plan clients · 4.0 to unsetNov 25, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 1-10Nov 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $174M to $184MNov 25, 2024 to Mar 18, 2025
- HNW RAUM · $142M to $160MNov 25, 2024 to Mar 18, 2025
- Individual RAUM · $14.7M to $17.9MNov 25, 2024 to Mar 18, 2025
- Pension RAUM · $16.7M to $5.7MNov 25, 2024 to Mar 18, 2025
- RAUM · $174M to $184MNov 25, 2024 to Mar 18, 2025
- Other offices · 1 to 2May 21, 2024 to Nov 19, 2024
- Other offices · 2 to 1Nov 19, 2024 to Nov 19, 2024
- Accounts · 195 to 198Mar 31, 2023 to Mar 29, 2024
- HNW clients · 49 to 47Mar 31, 2023 to Mar 29, 2024
- Individual clients · 28 to 31Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 5 to 4Mar 31, 2023 to Mar 29, 2024
- Legal name · F••••• E•••• M••••••• to E•••• F••••• I••••••••• C••••••• L••Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $179M to $174MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $159M to $142MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $9.7M to $14.7MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $9.6M to $16.7MMar 31, 2023 to Mar 29, 2024
- RAUM · $179M to $174MMar 31, 2023 to Mar 29, 2024
- Accounts · 206 to 195Mar 30, 2022 to Mar 31, 2023
- Charity clients · 1 to 0Mar 30, 2022 to Mar 31, 2023
- Individual clients · 24 to 28Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $210M to $179MMar 30, 2022 to Mar 31, 2023
- HNW RAUM · $191M to $159MMar 30, 2022 to Mar 31, 2023
- Individual RAUM · $9.2M to $9.7MMar 30, 2022 to Mar 31, 2023
- Pension RAUM · $10.1M to $9.6MMar 30, 2022 to Mar 31, 2023
- RAUM · $210M to $179MMar 30, 2022 to Mar 31, 2023
Signals
No event on the tape.
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
- Business phone
- 415-523-5373reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-271-2521reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/eliot-finkel-investment-counsel-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- e•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-271-2521reportedpublic record, Form ADV, Mar 30, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $187Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026