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••••••••• C•••
Latest filing Mar 24, 2026
First filing on the tape Mar 26, 2012 · 11 filings
SEC status approved since Apr 22, 2022
RAUM
$193M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$169M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$96.3M
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
11 filings and snapshots on the tape
RAUM$193M as of Mar 24, 2026
Mar 26, 2012$73.7M then
HNW client RAUM$169M as of Mar 24, 2026
Mar 29, 2023$104M then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 26, 20120 then
Employees (5.A)2 as of Mar 24, 2026
Mar 29, 20232 then
Private funds: no history
RAUM +9.9% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 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
- $96.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%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
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$169M88%
- Pension and profit-sharing plans$23.9M12%
- Individual clients
- 0reported
- HNW clients
- 58reported
- Pension plan clients
- 13reported
- Charitable clients
- 0reported
- Accounts
- 192reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 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 |
|---|---|---|---|---|
| P•••••• V••••••••• N•••••••• | Warren, Nj | May 30, 2012 | 33 y | 0 |
| Y••• N••••••••Certified Financial Planner | Warren, Nj | Jan 11, 2021 | 14 y | 2 |
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
- Y••• N•••••••• from J••• M••••• P•••••• W••••• A••••••• L••Jan 11, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• P••••••• V••••••••• · President/Chief Compliance Officercontrolsince 01/2000 · owns 75% or more
- N••••••••• M•••••• · Vice Presidentsince 01/2000 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Warren, Nj · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 189 to 192Mar 25, 2025 to Mar 24, 2026
- HNW clients · 57 to 58Mar 25, 2025 to Mar 24, 2026
- Pension plan clients · 11 to 13Mar 25, 2025 to Mar 24, 2026
- Discretionary RAUM · $175M to $193MMar 25, 2025 to Mar 24, 2026
- HNW RAUM · $153M to $169MMar 25, 2025 to Mar 24, 2026
- Pension RAUM · $22.6M to $23.9MMar 25, 2025 to Mar 24, 2026
- RAUM · $175M to $193MMar 25, 2025 to Mar 24, 2026
- Accounts · 168 to 189Mar 25, 2024 to Mar 25, 2025
- Pension plan clients · 10 to 11Mar 25, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $149M to $175MMar 25, 2024 to Mar 25, 2025
- HNW RAUM · $129M to $153MMar 25, 2024 to Mar 25, 2025
- Pension RAUM · $20.1M to $22.6MMar 25, 2024 to Mar 25, 2025
- RAUM · $149M to $175MMar 25, 2024 to Mar 25, 2025
- Accounts · 155 to 168Mar 29, 2023 to Mar 25, 2024
- HNW clients · 53 to 57Mar 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $121M to $149MMar 29, 2023 to Mar 25, 2024
- HNW RAUM · $104M to $129MMar 29, 2023 to Mar 25, 2024
- Individual RAUM · unset to 0.0Mar 29, 2023 to Mar 25, 2024
- Pension RAUM · $16.9M to $20.1MMar 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 29, 2023 to Mar 25, 2024
- RAUM · $121M to $149MMar 29, 2023 to Mar 25, 2024
- Accounts · 145 to 155Dec 15, 2022 to Mar 29, 2023
- HNW clients · 51 to 53Dec 15, 2022 to Mar 29, 2023
- Discretionary RAUM · $140M to $121MDec 15, 2022 to Mar 29, 2023
- HNW RAUM · $121M to $104MDec 15, 2022 to Mar 29, 2023
- Pension RAUM · $19.6M to $16.9MDec 15, 2022 to Mar 29, 2023
- RAUM · $140M to $121MDec 15, 2022 to Mar 29, 2023
- Accounts · 181 to 145Jun 22, 2012 to Mar 23, 2022
- Advisory employees · unset to 2.0Jun 22, 2012 to Mar 23, 2022
- BD registered reps · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- Charity clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- Corporate clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- HNW clients · unset to 51.0Jun 22, 2012 to Mar 23, 2022
- Individual clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- Pension plan clients · unset to 10.0Jun 22, 2012 to Mar 23, 2022
- Pooled vehicle clients · unset to 0.0Jun 22, 2012 to Mar 23, 2022
- Employees · unset to 2.0Jun 22, 2012 to Mar 23, 2022
- HQ city · BELLE MEAD to WARRENJun 22, 2012 to Mar 23, 2022
- State-registered IARs · 0 to 2Jun 22, 2012 to Mar 23, 2022
Signals
1 dated events
- E•••• C•••••• M••••••••• C••• filed its initial SEC registration (Form ADV)Mar 23, 2022 · First SEC registration · 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
- p••@e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 908-431-1770reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E••••CAPITALMGT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 908-431-1770reportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $96.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026