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••• P•••••• I••••••••• C•••••• I••

Former SEC-registered adviserCRD 109849SEC 801-44774IAPD
Legal name E••• P•••••• I••••••••• C• I••
Latest filing Oct 13, 2016
First filing on the tape Aug 2, 2012 · 5 filings
RAUM
$113M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$113M as of Oct 13, 2016
Aug 2, 2012$84.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 13, 2016
Feb 28, 20130 then
Employees (5.A)1 as of Oct 13, 2016
Feb 28, 20131 then
Private funds: no history
RAUM -2.4% over the last fiscal year+4.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 13, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$8.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
92%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.4%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 institutions, otherreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
14reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • R•••••••• M••••• K• · Vice President/Chief Compliance Officer
        since 05/2010 · owns less than 5%
      Entity owners
      • G•••••••• K••••• R••••• · President
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 14
        May 14, 2015 to Oct 13, 2016
      • Discretionary RAUM · $6.0M to $104M
        May 14, 2015 to Oct 13, 2016
      • Non-discretionary RAUM · $109M to $8.9M
        May 14, 2015 to Oct 13, 2016
      • RAUM · $115M to $113M
        May 14, 2015 to Oct 13, 2016
      • Accounts · 25 to 12
        Oct 13, 2014 to May 14, 2015
      • Discretionary RAUM · $8.6M to $6.0M
        Oct 13, 2014 to May 14, 2015
      • Non-discretionary RAUM · $99.6M to $109M
        Oct 13, 2014 to May 14, 2015
      • RAUM · $108M to $115M
        Oct 13, 2014 to May 14, 2015
      • Accounts · 29 to 25
        Feb 28, 2013 to Oct 13, 2014
      • Discretionary RAUM · $8.1M to $8.6M
        Feb 28, 2013 to Oct 13, 2014
      • Non-discretionary RAUM · $91.0M to $99.6M
        Feb 28, 2013 to Oct 13, 2014
      • RAUM · $99.1M to $108M
        Feb 28, 2013 to Oct 13, 2014
      • Accounts · 13 to 29
        Aug 2, 2012 to Feb 28, 2013
      • Advisory employees · unset to 1.0
        Aug 2, 2012 to Feb 28, 2013
      • Employees · unset to 1.0
        Aug 2, 2012 to Feb 28, 2013
      • State-registered IARs · unset to 0.0
        Aug 2, 2012 to Feb 28, 2013
      • Discretionary RAUM · $6.0M to $8.1M
        Aug 2, 2012 to Feb 28, 2013
      • Non-discretionary RAUM · $78.1M to $91.0M
        Aug 2, 2012 to Feb 28, 2013
      • RAUM · $84.1M to $99.1M
        Aug 2, 2012 to Feb 28, 2013
      • Related adviser · false to true
        Aug 2, 2012 to Feb 28, 2013
      Signals
      No event on the tape.
      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