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••••••• V••••• C••••••

Former SEC-registered adviserSt Louis, MissouriCRD 105443SEC 801-21675IAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 14, 2012 · 21 filings
RAUM
$83.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$69.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$13.2M gross assets
History
21 filings and snapshots on the tape
RAUM$83.0M as of Mar 31, 2023
Mar 14, 2012$201M then
HNW client RAUM$69.0M as of Mar 31, 2023
Mar 30, 2018$311M then
State-registered IARs (5.B.3)4 as of Mar 31, 2023
Mar 15, 20130 then
Employees (5.A)5 as of Mar 31, 2023
Mar 15, 20138 then
Private funds1 as of Mar 31, 2023
Mar 14, 20121 then
RAUM -73% over the last fiscal year-37% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
RAUM per advisor
$20.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.3MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-73%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$13.3M, 5 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$69.0M83%
  • Pooled investment vehicles$13.2M16%
  • Individuals$884,3301.1%
Individual clients
n/areported
HNW clients
13reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
47reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$13.3M for 5 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    P••••••• P•••••••• L••Hedge Fund$13.2M36Mar 14, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • V•••••• J•••• A••••• · President/Ccocontrol
      since 01/2022 · owns 50% to 75%
    • V•••••• J•••• A••••• · Principalcontrol
      since 01/2022 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • E••••••• V••••• C•••••• G•• L••
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 142 to 47
      Dec 22, 2022 to Mar 31, 2023
    • Advisory activities · 3 to 2
      Dec 22, 2022 to Mar 31, 2023
    • HNW clients · 47 to 13
      Dec 22, 2022 to Mar 31, 2023
    • Individual clients · 18.0 to unset
      Dec 22, 2022 to Mar 31, 2023
    • Assets in custody · $0 to $13.3M
      Dec 22, 2022 to Mar 31, 2023
    • Custody of client assets · false to true
      Dec 22, 2022 to Mar 31, 2023
    • Employees · 8 to 5
      Dec 22, 2022 to Mar 31, 2023
    • Insurance-licensed employees · 0 to 2
      Dec 22, 2022 to Mar 31, 2023
    • Financial planning clients · 1-10 to 0
      Dec 22, 2022 to Mar 31, 2023
    • Other offices · 1 to 0
      Dec 22, 2022 to Mar 31, 2023
    • Discretionary RAUM · $307M to $83.0M
      Dec 22, 2022 to Mar 31, 2023
    • HNW RAUM · $280M to $69.0M
      Dec 22, 2022 to Mar 31, 2023
    • Individual RAUM · $3.8M to $884,330
      Dec 22, 2022 to Mar 31, 2023
    • Pooled vehicle RAUM · $22.8M to $13.2M
      Dec 22, 2022 to Mar 31, 2023
    • RAUM · $307M to $83.0M
      Dec 22, 2022 to Mar 31, 2023
    • Accounts · 255 to 142
      Mar 30, 2021 to Mar 31, 2022
    • Advisory employees · 5 to 4
      Mar 30, 2021 to Mar 31, 2022
    • HNW clients · 91 to 47
      Mar 30, 2021 to Mar 31, 2022
    • Individual clients · 21 to 18
      Mar 30, 2021 to Mar 31, 2022
    • Pooled vehicle clients · 2 to 1
      Mar 30, 2021 to Mar 31, 2022
    • Assets in custody · $52.3M to $0
      Mar 30, 2021 to Mar 31, 2022
    • Custody of client assets · true to false
      Mar 30, 2021 to Mar 31, 2022
    • Financial planning clients · 11-25 to 1-10
      Mar 30, 2021 to Mar 31, 2022
    • State-registered IARs · 5 to 4
      Mar 30, 2021 to Mar 31, 2022
    • Private funds · 2 to 1
      Mar 30, 2021 to Mar 31, 2022
    • Discretionary RAUM · $319M to $307M
      Mar 30, 2021 to Mar 31, 2022
    • HNW RAUM · $297M to $280M
      Mar 30, 2021 to Mar 31, 2022
    • Individual RAUM · $3.7M to $3.8M
      Mar 30, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $11.3M to $0
      Mar 30, 2021 to Mar 31, 2022
    • Pooled vehicle RAUM · $30.1M to $22.8M
      Mar 30, 2021 to Mar 31, 2022
    • RAUM · $330M to $307M
      Mar 30, 2021 to Mar 31, 2022
    • Accounts · 263 to 255
      Jun 30, 2020 to Mar 30, 2021
    • HNW clients · 72 to 91
      Jun 30, 2020 to Mar 30, 2021
    • Individual clients · 39 to 21
      Jun 30, 2020 to Mar 30, 2021
    • Assets in custody · $93.6M to $52.3M
      Jun 30, 2020 to Mar 30, 2021
    • Discretionary RAUM · $333M to $319M
      Jun 30, 2020 to Mar 30, 2021
    • HNW RAUM · $275M to $297M
      Jun 30, 2020 to Mar 30, 2021
    • Individual RAUM · $13.0M to $3.7M
      Jun 30, 2020 to Mar 30, 2021
    • Non-discretionary RAUM · $0 to $11.3M
      Jun 30, 2020 to Mar 30, 2021
    • Pooled vehicle RAUM · $45.3M to $30.1M
      Jun 30, 2020 to Mar 30, 2021
    Signals
    9 dated events
    • J••• A••••• V••••• left E••••••• V••••• C•••••• for Krilogy (registered 2023-03-20)
      Jul 17, 2023 · Advisor changed firm · fact
    • S•••••• F••••• left E••••••• V••••• C•••••• for D•••••• S••••• C•••••• (registered 2023-04-12)
      Apr 10, 2023 · Advisor changed firm · fact
    • D•••• R••••• E••••••• left E••••••• V••••• C•••••• for D•••••• S••••• C•••••• (registered 2023-04-12)
      Apr 10, 2023 · Advisor changed firm · fact
    • 2 advisors left E••••••• V••••• C•••••• (ST Louis, MO) for D•••••• S••••• C•••••• on the same day
      Apr 10, 2023 · Team lift-out · derived
    • E••••••• V••••• C•••••• reported RAUM $83.0M, down 73% from $307.0M (2022-12-22 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • T••••• A••• E••••••• left E••••••• V••••• C•••••• for D•••••• S••••• C•••••• (registered 2022-03-16)
      Mar 1, 2023 · Advisor changed firm · fact
    • Aron Thomas E••••••• (President / Cco) no longer on Schedule A of E••••••• V••••• C•••••• (listed 2021-03-30, absent 2022-03-31)
      Mar 31, 2022 · Control person left · inference
    • Robert David E••••••• (Chairman) no longer on Schedule A of E••••••• V••••• C•••••• (listed 2021-03-30, absent 2022-03-31)
      Mar 31, 2022 · Control person left · inference
    • B••••••• M••• W•••• left E••••••• V••••• C•••••• for D•••••• S••••• C•••••• (registered 2022-03-16)
      Mar 16, 2022 · 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.
    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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026