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••••••• C•••••• M••••••••• I••
Latest filing Feb 17, 2026
First filing on the tape Mar 23, 2012 · 22 filings
SEC status approved since Feb 24, 1995
RAUM
$334M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$334M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$167M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$334M as of Feb 17, 2026
Mar 23, 2012$325M then
HNW client RAUM$334M as of Feb 17, 2026
Jan 19, 2018$397M then
State-registered IARs (5.B.3)2 as of Feb 17, 2026
Mar 23, 20120 then
Employees (5.A)2 as of Feb 17, 2026
Feb 28, 20133 then
Private funds: no history
RAUM -2.2% over the last fiscal year-1.9% a year over threeIARs 1 to 2
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $167MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 113derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$334M100%
- Individual clients
- 0reported
- HNW clients
- 226reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 226reported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• M••••• C•••• | Los Angeles, Ca | Feb 15, 1995 | 40 y | 0 |
| C••••••••• R••••• M•••••• | Palos Verdes, Ca | Dec 2, 2025 | 39 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
- C••••• M••••••• M••••• · President, Ceo, Director, Ccocontrolsince 01/1995 · owns 75% or more
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
- Accounts · 259 to 226Mar 7, 2025 to Feb 17, 2026
- Advisory employees · 1 to 2Mar 7, 2025 to Feb 17, 2026
- HNW clients · 259 to 226Mar 7, 2025 to Feb 17, 2026
- State-registered IARs · 1 to 2Mar 7, 2025 to Feb 17, 2026
- Discretionary RAUM · $342M to $334MMar 7, 2025 to Feb 17, 2026
- HNW RAUM · $342M to $334MMar 7, 2025 to Feb 17, 2026
- RAUM · $342M to $334MMar 7, 2025 to Feb 17, 2026
- Accounts · 270 to 259Feb 6, 2024 to Mar 7, 2025
- HNW clients · 270 to 259Feb 6, 2024 to Mar 7, 2025
- Individual clients · unset to 0.0Feb 6, 2024 to Mar 7, 2025
- Financial planning clients · 0 to 0Feb 6, 2024 to Mar 7, 2025
- HQ city · unset to Feb 6, 2024 to Mar 7, 2025
- HQ state · unset to Feb 6, 2024 to Mar 7, 2025
- Discretionary RAUM · $358M to $342MFeb 6, 2024 to Mar 7, 2025
- HNW RAUM · $358M to $342MFeb 6, 2024 to Mar 7, 2025
- RAUM · $358M to $342MFeb 6, 2024 to Mar 7, 2025
- Accounts · 272 to 270Mar 1, 2023 to Feb 6, 2024
- HNW clients · 272 to 270Mar 1, 2023 to Feb 6, 2024
- Discretionary RAUM · $354M to $358MMar 1, 2023 to Feb 6, 2024
- HNW RAUM · $354M to $358MMar 1, 2023 to Feb 6, 2024
- RAUM · $354M to $358MMar 1, 2023 to Feb 6, 2024
- Accounts · 286 to 272Feb 2, 2022 to Mar 1, 2023
- HNW clients · 286 to 272Feb 2, 2022 to Mar 1, 2023
- Employees · 1 to 2Feb 2, 2022 to Mar 1, 2023
- Discretionary RAUM · $383M to $354MFeb 2, 2022 to Mar 1, 2023
- HNW RAUM · $383M to $354MFeb 2, 2022 to Mar 1, 2023
- RAUM · $383M to $354MFeb 2, 2022 to Mar 1, 2023
- Accounts · 304 to 286Feb 12, 2021 to Feb 2, 2022
- HNW clients · 304 to 286Feb 12, 2021 to Feb 2, 2022
- Discretionary RAUM · $394M to $383MFeb 12, 2021 to Feb 2, 2022
- HNW RAUM · $394M to $383MFeb 12, 2021 to Feb 2, 2022
- RAUM · $394M to $383MFeb 12, 2021 to Feb 2, 2022
- Accounts · 314 to 304Feb 21, 2020 to Feb 12, 2021
- HNW clients · 314 to 304Feb 21, 2020 to Feb 12, 2021
- Employees · 2 to 1Feb 21, 2020 to Feb 12, 2021
- HQ city · EL SEGUNDO to unsetFeb 21, 2020 to Feb 12, 2021
- HQ state · CA to unsetFeb 21, 2020 to Feb 12, 2021
- Discretionary RAUM · $416M to $394MFeb 21, 2020 to Feb 12, 2021
- HNW RAUM · $416M to $394MFeb 21, 2020 to Feb 12, 2021
- RAUM · $416M to $394MFeb 21, 2020 to Feb 12, 2021
Signals
1 dated events
- Mcgregor Alexander Anderson (Vice President Private Client Services) no longer on Schedule A of E••••••• C•••••• M••••••••• I•• (listed 2020-02-21, absent 2021-02-12)Feb 12, 2021 · Control person left · inference
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
- e•••••••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-445-3252reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 310-445-3258reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 800-400-0989reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E•••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-445-3252reportedpublic record, Form ADV, Feb 17, 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
- $167Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026