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•••••• H••••• • C•
Latest filing Mar 9, 2026
First filing on the tape Mar 29, 2012 · 24 filings
SEC status approved since Nov 1, 1940
RAUM
$12B
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$11B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$1.2B
derived; firm RAUM over IAPD count
Employees
18
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$12B as of Mar 9, 2026
Mar 29, 2012$5.6B then
HNW client RAUM$8.5B as of Mar 10, 2023
Mar 20, 2018$7.1B then
State-registered IARs (5.B.3)0 as of Mar 9, 2026
Mar 29, 20120 then
Employees (5.A)18 as of Mar 9, 2026
Mar 22, 201317 then
Private funds: no history
RAUM +5.8% over the last fiscal year+9.7% a year over threeIARs 10 to 0
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
- RAUM per advisor
- $1.2BderivedRAUM 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
- $6.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $574M, 91 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$11B99%
- Charitable organizations$166M1.4%
- Individual clients
- 718reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 25reported
- Accounts
- 1,794reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $574M for 91 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• A•••• C••••Chartered Financial Analyst | Los Angeles, Ca | Jul 8, 1997 | 39 y | 0 |
| O••••• N•••••••• C••••Chartered Financial Analyst | Mission Viejo, Ca | Jul 8, 1997 | 54 y | 0 |
| J•••• D•••••• W•••Chartered Financial Analyst | Los Angeles, Ca | Jul 8, 1997 | 44 y | 0 |
| R••••• W• S••••••Chartered Financial Analyst | Mclean, Va | Oct 29, 2002 | 24 y | 0 |
| M••• A••••• F••••••Chartered Financial Analyst | Mission Viejo, Ca | Mar 30, 2005 | 28 y | 0 |
| J••• C•••••••• A•••••Chartered Financial Analyst | Charlotte, Nc | Nov 28, 2012 | 14 y | 0 |
| D•••••• C••• G•••••••Chartered Financial Analyst | Mission Viejo, Ca | Jun 9, 2017 | 28 y | 0 |
| M••••• L•••••• B••••Chartered Financial Analyst | Los Angeles, Ca | Jun 24, 2020 | 18 y | 0 |
| K•••• H•• N•Chartered Financial Analyst | Los Angeles, Ca | Jun 24, 2020 | 17 y | 0 |
| E•••••••• R••• M•••••••Chartered Financial Analyst | Mission Viejo, Ca | Sep 10, 2020 | 16 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
- A••••• B• S•••••• to A•• L••••• P•••••••• L••Mar 3, 2021 · RIA to a newly registered adviser
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• A•••• · President & Chief Compliance Officercontrolsince 01/2005 · owns 10% to 25%
- C••••• O•••••• N•••••••• · Chairman & Ceocontrolsince 12/1992 · owns 10% to 25%
- W•••• J••••• D•••••• · Cio & Cfocontrolsince 12/1992 · owns 10% to 25%
- S••••••• R•••••• W• · Director Of Researchsince 04/2003 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 5 | 0 | 0 | ||
| Mission Viejo, Ca | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Mission Viejo, CA4 employees
- Charlotte, NC1 employees
- Mclean, VA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Mar 9, 2026advisory representatives (Item 5.B.3) moved from 10.0 to 0.0 (-100.0%) between the annual amendments of 2025-02-06 and 2026-03-09; the peer median change was +6.0% (220 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $5B to $20B (220) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,884 to 1,794Feb 6, 2025 to Mar 9, 2026
- Charity clients · 36 to 25Feb 6, 2025 to Mar 9, 2026
- Individual clients · 681 to 718Feb 6, 2025 to Mar 9, 2026
- Assets in custody · $442M to $574MFeb 6, 2025 to Mar 9, 2026
- State-registered IARs · 10 to 0Feb 6, 2025 to Mar 9, 2026
- Discretionary RAUM · $11B to $11BFeb 6, 2025 to Mar 9, 2026
- Individual RAUM · $11B to $11BFeb 6, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $325M to $334MFeb 6, 2025 to Mar 9, 2026
- RAUM · $11B to $12BFeb 6, 2025 to Mar 9, 2026
- Accounts · 1,784 to 1,884Oct 29, 2024 to Feb 6, 2025
- Charity clients · 31 to 36Oct 29, 2024 to Feb 6, 2025
- Individual clients · 679 to 681Oct 29, 2024 to Feb 6, 2025
- Assets in custody · $368M to $442MOct 29, 2024 to Feb 6, 2025
- Financial planning clients · unset to Oct 29, 2024 to Feb 6, 2025
- Discretionary RAUM · $9.7B to $11BOct 29, 2024 to Feb 6, 2025
- Individual RAUM · $9.8B to $11BOct 29, 2024 to Feb 6, 2025
- Non-discretionary RAUM · $317M to $325MOct 29, 2024 to Feb 6, 2025
- RAUM · $10B to $11BOct 29, 2024 to Feb 6, 2025
- Accounts · 1,728 to 1,784Mar 10, 2023 to Feb 26, 2024
- Charity clients · 36 to 31Mar 10, 2023 to Feb 26, 2024
- Corporate clients · 5.0 to unsetMar 10, 2023 to Feb 26, 2024
- HNW clients · 1687.0 to unsetMar 10, 2023 to Feb 26, 2024
- Individual clients · unset to 679.0Mar 10, 2023 to Feb 26, 2024
- Assets in custody · $396M to $368MMar 10, 2023 to Feb 26, 2024
- Discretionary RAUM · $8.4B to $9.7BMar 10, 2023 to Feb 26, 2024
- HNW RAUM · 8515536872.0 to unsetMar 10, 2023 to Feb 26, 2024
- Individual RAUM · unset to 9827956862.0Mar 10, 2023 to Feb 26, 2024
- Non-discretionary RAUM · $366M to $317MMar 10, 2023 to Feb 26, 2024
- RAUM · $8.7B to $10BMar 10, 2023 to Feb 26, 2024
- Accounts · 1,644 to 1,728Mar 10, 2022 to Mar 10, 2023
- Charity clients · 37 to 36Mar 10, 2022 to Mar 10, 2023
- Corporate clients · unset to 5.0Mar 10, 2022 to Mar 10, 2023
- HNW clients · 1,439 to 1,687Mar 10, 2022 to Mar 10, 2023
- Assets in custody · $293M to $396MMar 10, 2022 to Mar 10, 2023
- Discretionary RAUM · $9.8B to $8.4BMar 10, 2022 to Mar 10, 2023
- HNW RAUM · $9.9B to $8.5BMar 10, 2022 to Mar 10, 2023
- Non-discretionary RAUM · $451M to $366MMar 10, 2022 to Mar 10, 2023
- RAUM · $10B to $8.7BMar 10, 2022 to Mar 10, 2023
- Accounts · 1,590 to 1,644Mar 29, 2021 to Mar 10, 2022
- Charity clients · 15 to 37Mar 29, 2021 to Mar 10, 2022
Signals
3 dated events
- E•••••• H••••• • C• reported 0 state-registered advisory representatives, down from 10 (2025-02-06 to 2026-03-09)Mar 9, 2026 · Advisor headcount change · derived
- Duane Tom Beck (Chief Compliance Officer) no longer on Schedule A of E•••••• H••••• • C• (listed 2019-11-06, absent 2020-03-18)Mar 18, 2020 · Control person left · inference
- Duane Tom Beck (Chief Compliance Officer) appeared on Schedule A of E•••••• H••••• • C•Mar 28, 2019 · Control person joined · 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
- Business email
- i•••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 213-625-2677reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••••H•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 213-625-2677reportedpublic record, Form ADV, Mar 9, 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
- $1.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026