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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E•• A•••• M••••••••• L••
Latest filing Aug 4, 2026
First filing on the tape Mar 30, 2012 · 29 filings
SEC status approved since Dec 7, 1990
RAUM
$70.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$70.0M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$70.0M
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
29 filings and snapshots on the tape
RAUM$70.0M as of Aug 4, 2026
Mar 30, 2012$430M then
HNW client RAUM$70.0M as of Aug 4, 2026
Mar 30, 2018$26.9M then
State-registered IARs (5.B.3)1 as of Aug 4, 2026
Mar 30, 20120 then
Employees (5.A)1 as of Aug 4, 2026
Apr 1, 201310 then
Private funds3 as of Mar 8, 2023
Mar 30, 201226 then
RAUM +17% over the last fiscal year-27% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Aug 4, 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
- $70.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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$70.0M100%
- Individual clients
- 0reported
- HNW clients
- 32reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 54reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| E••••• F••••••• S•••••••Chartered Financial Analyst | Dallas, Tx | Aug 12, 2026 | 24 y | 4 |
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
- S••••• K••••••••• V••••••• to B••••••• L••Dec 31, 2022 · Other
Joined, latest
- S••••• K••••••••• V••••••• from A••••••••• F•••••••• S•••••••• L••Oct 12, 2017 · Other
- E••••• F••••••• S••••••• from W•••• S••• A•••• M••••••••• L••Sep 4, 2009 · Other
Private funds
35 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• E••••••• R••••• P•••••••• L••• | Hedge Fund | $116M | 2 | Mar 30, 2012 |
| T•••• E••••• B••••• P••••••• V•••• L•no longer reported | Private Equity Fund | $27.7M | 4 | Mar 31, 2014 |
| W••••• P•••••••• L• | Hedge Fund | $24.3M | 6 | Mar 30, 2012 |
| B•••••• E••••• I••••• F•••• L•no longer reported | Hedge Fund | $23.0M | 11 | Mar 30, 2012 |
| N•••••••• C••••••• L•no longer reported | Hedge Fund | $18.4M | 3 | Mar 30, 2012 |
| B•••••• O••••••••• F•••• L•no longer reported | Hedge Fund | $18.1M | 3 | Mar 30, 2012 |
| T•••••••• P•••••••• L•no longer reported | Other Private Fund | $15.5M | 1 | Mar 30, 2012 |
| O•••• C••••••• L•no longer reported | Other Private Fund | $13.9M | 2 | Mar 30, 2012 |
| G•••••••• S••••••••• L•no longer reported | Hedge Fund | $11.8M | 10 | Mar 30, 2012 |
| B•••••• I••••• M••••• F•••• L•no longer reported | Hedge Fund | $11.6M | 8 | Mar 30, 2012 |
| T•• I••••••••• L•no longer reported | Hedge Fund | $10.1M | 3 | Mar 31, 2014 |
| M•••• I••••••••• L•no longer reported | Hedge Fund | $6.2M | 8 | Mar 31, 2014 |
| N•••••• C••••• P•••••••• L•no longer reported | Other Private Fund | $5.9M | 10 | Mar 30, 2012 |
| B•••••• E••••• I••••• F•••• L•no longer reported | Hedge Fund | $5.9M | 3 | Mar 31, 2014 |
| B•••••••• I••••••••• L•no longer reported | Hedge Fund | $5.8M | 6 | Apr 1, 2013 |
| T•••• E••••• B••••• P••••••• V•• L•no longer reported | Private Equity Fund | $5.0M | 18 | Mar 30, 2012 |
| H••••••• P•••••••• L•••no longer reported | Other Private Fund | $5.0M | 5 | Mar 30, 2012 |
| B••••• I••••••••• L•no longer reported | Other Private Fund | $4.6M | 2 | Mar 30, 2012 |
| H•••••••• E••••• P•••••••• L•no longer reported | Other Private Fund | $4.2M | 5 | Mar 30, 2012 |
| T•••• E••••• B••••• P••••••• V••• L•no longer reported | Private Equity Fund | $4.0M | 17 | Mar 30, 2012 |
| T••••••••• G••••• O••••••••• L•no longer reported | Private Equity Fund | $3.6M | 3 | Mar 31, 2017 |
| T•••• E••••• B••••• P••••••• I••• L•no longer reported | Private Equity Fund | $2.7M | 79 | Mar 30, 2012 |
| R•••••• P•••••••• L•no longer reported | Other Private Fund | $2.3M | 2 | Mar 30, 2012 |
| T••••••••• P•••••• B••••• P••••••• I•• L•no longer reported | Private Equity Fund | $1.9M | 10 | Mar 30, 2012 |
| T•••• E••••• B••••• P••••••• V• L•no longer reported | Private Equity Fund | $1.9M | 13 | Mar 30, 2012 |
| G•••••••• S••••••••• I•• L•no longer reported | Other Private Fund | $1.8M | 5 | Mar 30, 2012 |
| B•••••• D••••••••• I••••• F•••• L•no longer reported | Hedge Fund | $1.4M | 3 | Mar 31, 2014 |
| T•••• E••••• B••••• P•••••••• L•no longer reported | Private Equity Fund | $681,943 | 34 | Mar 30, 2012 |
| T•••• E••••• B••••• P••••••• I•• L•no longer reported | Private Equity Fund | $650,567 | 25 | Mar 30, 2012 |
| B•••••• R••••• I••••• F•••• L•no longer reported | Hedge Fund | $427,966 | 2 | Mar 31, 2014 |
| T•••• A••• P•••••• B••••• P••••••• L•no longer reported | Private Equity Fund | $212,622 | 21 | Mar 30, 2012 |
| S••••••••• P•••••••• L•no longer reported | Other Private Fund | $16,765 | 2 | Mar 30, 2012 |
| B•••••• S•••••••• I••••• F•••• L• | Hedge Fund | $1 | 54 | Mar 30, 2012 |
| T•••• E••••• B••••• P••••••• I•• L•no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| C••••• S••••••••• L•no longer reported | Hedge Fund | $0 | 0 | Apr 1, 2013 |
Owners and control persons
Schedule A and B, latest filing
- S•••••••• E•••••• F••••••• · President, Director, Chief Investment Officercontrolsince 01/2021 · owns 75% or more
- K••••••• M••••••• R••• · Director, Chief Compliance Officersince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- M•••••• R••• K••••••y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 51 to 54Jan 16, 2026 to Mar 3, 2026
- Discretionary RAUM · $60.0M to $70.0MJan 16, 2026 to Mar 3, 2026
- HNW RAUM · $60.0M to $70.0MJan 16, 2026 to Mar 3, 2026
- RAUM · $60.0M to $70.0MJan 16, 2026 to Mar 3, 2026
- Accounts · 53 to 51Mar 25, 2024 to Mar 12, 2025
- Advisory employees · 2 to 1Mar 25, 2024 to Mar 12, 2025
- Business name · F••• K••• C•••••• A••••••• I••• to E•• A•••• M••••••••• L••Mar 25, 2024 to Mar 12, 2025
- Employees · 3 to 1Mar 25, 2024 to Mar 12, 2025
- Insurance-licensed employees · 1 to 0Mar 25, 2024 to Mar 12, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 12, 2025
- Legal name · F••• K••• C•••••• A••••••• I••• to E•• A•••• M••••••••• L••Mar 25, 2024 to Mar 12, 2025
- Discretionary RAUM · $69.7M to $60.0MMar 25, 2024 to Mar 12, 2025
- HNW RAUM · $69.7M to $60.0MMar 25, 2024 to Mar 12, 2025
- RAUM · $69.7M to $60.0MMar 25, 2024 to Mar 12, 2025
- Succession · true to falseMar 25, 2024 to Mar 12, 2025
- Accounts · 54 to 53Mar 8, 2023 to Mar 25, 2024
- Advisory activities · 3 to 1Mar 8, 2023 to Mar 25, 2024
- Charity clients · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- Corporate clients · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- HNW clients · 25 to 32Mar 8, 2023 to Mar 25, 2024
- Individual clients · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- Pension plan clients · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- Pooled vehicle clients · 3 to 0Mar 8, 2023 to Mar 25, 2024
- Employees · 5 to 3Mar 8, 2023 to Mar 25, 2024
- Organization form · Corporation to Limited Liability CompanyMar 8, 2023 to Mar 25, 2024
- Private funds · 3 to unsetMar 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $180M to $69.7MMar 8, 2023 to Mar 25, 2024
- HNW RAUM · $39.9M to $69.7MMar 8, 2023 to Mar 25, 2024
- Individual RAUM · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- Pension RAUM · unset to 0.0Mar 8, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $140M to $0Mar 8, 2023 to Mar 25, 2024
- RAUM · $180M to $69.7MMar 8, 2023 to Mar 25, 2024
- Succession · false to trueMar 8, 2023 to Mar 25, 2024
- Accounts · 53 to 52Mar 31, 2022 to Mar 8, 2023
- HNW clients · 27 to 25Mar 31, 2022 to Mar 8, 2023
- Pooled vehicle clients · 4 to 3Mar 31, 2022 to Mar 8, 2023
- Private funds · 4 to 3Mar 31, 2022 to Mar 8, 2023
- Discretionary RAUM · $249M to $180MMar 31, 2022 to Mar 8, 2023
- HNW RAUM · $40.7M to $39.9MMar 31, 2022 to Mar 8, 2023
- Pooled vehicle RAUM · $208M to $140MMar 31, 2022 to Mar 8, 2023
Signals
17 dated events
- F••• K••• C•••••• A••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 25, 2024 · Succession (Item 4) · fact
- E•• A•••• M••••••••• L•• reported RAUM $69.7M, down 61% from $179.7M (2023-03-08 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Watkins Keith Kennedy (Director And Vice President) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2023-03-08, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- S••••• K••••••••• V••••••• left E•• A•••• M••••••••• L•• for B••••••• L•• (registered 2025-07-01)Dec 31, 2022 · advisor f••• change · fact
- Csongor Bibza (Director) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-06-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Gloria Varel (Director) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-06-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Don James Iii Struble (Chief Financial Officer) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-06-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Kannanthanam Sanjiv Varghese (Vice President/Portfolio Manager) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-06-29, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Freeman The Estate Of John Eulich Deceased (Shareholder) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-03-26, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Walsh Virginia Eulich (Executrix Of The Estate Of John Freeman Eulich Deceased/Shareholder) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2021-03-26, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Watkins Keith Kennedy (Director And Vice President) appeared on Schedule A of E•• A•••• M••••••••• L••Jun 29, 2021 · Control person joined · fact
- Kannanthanam Sanjiv Varghese (Vice President/Portfolio Manager) appeared on Schedule A of E•• A•••• M••••••••• L••Mar 30, 2020 · Control person joined · fact
- E•• A•••• M••••••••• L•• reported RAUM $289.4M, down 29% from $408.5M (2018-03-30 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- M Steven Harasym (President) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2018-03-30, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- M••• A••••• K•••• (Vice President) no longer on Schedule A of E•• A•••• M••••••••• L•• (listed 2018-03-30, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Franklin Edward Sullivan (President) appeared on Schedule A of E•• A•••• M••••••••• L••Mar 27, 2019 · Control person joined · fact
- Don James Iii Struble (Chief Financial Officer) appeared on Schedule A of E•• A•••• M••••••••• L••Mar 27, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- F••• K••• C•••••• A••••••• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 214-550-0914reportedpublic record, Form ADV, Aug 4, 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
- $70.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026