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•••• I•••
Latest filing Mar 5, 2026
First filing on the tape Mar 15, 2012 · 29 filings
SEC status approved since Feb 23, 1993
RAUM
$147M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$141M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.1M
derived; firm RAUM over IAPD count
Employees
3
2 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$147M as of Mar 5, 2026
Mar 15, 2012$164M then
HNW client RAUM$118M as of Mar 5, 2026
Mar 9, 2018$90.7M then
State-registered IARs (5.B.3)2 as of Mar 5, 2026
Mar 7, 20130 then
Employees (5.A)3 as of Mar 5, 2026
Mar 7, 20133 then
Private funds: no history
RAUM -0.1% over the last fiscal year+4.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $49.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $805,303derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.8%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$118M80%
- Individuals$23.6M16%
- Corporations and businesses$5.9M4.0%
- Individual clients
- 66reported
- HNW clients
- 48reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 183reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• C••••• C•••••••• | Lutz, Fl | Mar 22, 1993 | 45 y | 1 |
| J•••• C•••••• C•••••••• | Lutz, Fl | Mar 22, 1993 | 41 y | 0 |
| C••••• J••••• C•••••••• | Lutz, Fl | Oct 23, 2018 | 26 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
- B••••••• M•••••• H••• to S••••••• F•••••••• C••••Apr 14, 2008 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• C••••••• C••••• · Ccocontrolsince 09/2006 · owns less than 5%
- C••••••••• C•••••• J••••• · Portfolio Managercontrolsince 11/2018 · owns less than 5%
- C••••••••• J••••• C•••••• · Presidentcontrolsince 04/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
- F••••••••• I••••••••• A••••••• G••••• I•••investment adviseryRAUM $10.8M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lutz, Fl · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 203 to 183Mar 6, 2025 to Mar 5, 2026
- HNW clients · 54 to 48Mar 6, 2025 to Mar 5, 2026
- Individual clients · 67 to 66Mar 6, 2025 to Mar 5, 2026
- Discretionary RAUM · $144M to $143MMar 6, 2025 to Mar 5, 2026
- HNW RAUM · $120M to $118MMar 6, 2025 to Mar 5, 2026
- Individual RAUM · $22.3M to $23.6MMar 6, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $4.0M to $4.4MMar 6, 2025 to Mar 5, 2026
- RAUM · $147M to $147MMar 6, 2025 to Mar 5, 2026
- Accounts · 207 to 203Feb 22, 2024 to Mar 6, 2025
- HNW clients · 53 to 54Feb 22, 2024 to Mar 6, 2025
- Individual clients · 72 to 67Feb 22, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Feb 22, 2024 to Mar 6, 2025
- Discretionary RAUM · $132M to $144MFeb 22, 2024 to Mar 6, 2025
- HNW RAUM · $109M to $120MFeb 22, 2024 to Mar 6, 2025
- Individual RAUM · $21.1M to $22.3MFeb 22, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $3.6M to $4.0MFeb 22, 2024 to Mar 6, 2025
- RAUM · $136M to $147MFeb 22, 2024 to Mar 6, 2025
- Accounts · 209 to 207Jun 29, 2023 to Feb 22, 2024
- Charity clients · unset to 0.0Jun 29, 2023 to Feb 22, 2024
- HNW clients · 36 to 53Jun 29, 2023 to Feb 22, 2024
- Individual clients · 91 to 72Jun 29, 2023 to Feb 22, 2024
- Pension plan clients · unset to 0.0Jun 29, 2023 to Feb 22, 2024
- Pooled vehicle clients · unset to 0.0Jun 29, 2023 to Feb 22, 2024
- Discretionary RAUM · $125M to $132MJun 29, 2023 to Feb 22, 2024
- HNW RAUM · $88.8M to $109MJun 29, 2023 to Feb 22, 2024
- Individual RAUM · $34.4M to $21.1MJun 29, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $3.2M to $3.6MJun 29, 2023 to Feb 22, 2024
- Pension RAUM · unset to 0.0Jun 29, 2023 to Feb 22, 2024
- Pooled vehicle RAUM · unset to 0.0Jun 29, 2023 to Feb 22, 2024
- RAUM · $128M to $136MJun 29, 2023 to Feb 22, 2024
- Advisory employees · 3 to 2Mar 17, 2023 to Jun 29, 2023
- Employees · 4 to 3Mar 17, 2023 to Jun 29, 2023
- Insurance-licensed employees · 3 to 2Mar 17, 2023 to Jun 29, 2023
- State-registered IARs · 3 to 2Mar 17, 2023 to Jun 29, 2023
- Accounts · 203 to 209Jul 18, 2022 to Mar 17, 2023
- HNW clients · 44 to 36Jul 18, 2022 to Mar 17, 2023
- Individual clients · 85 to 91Jul 18, 2022 to Mar 17, 2023
- Discretionary RAUM · $115M to $125MJul 18, 2022 to Mar 17, 2023
- HNW RAUM · $85.5M to $88.8MJul 18, 2022 to Mar 17, 2023
- Individual RAUM · $27.9M to $34.4MJul 18, 2022 to Mar 17, 2023
Signals
2 dated events
- W. Timothy Loudin (Sr Vp) no longer on Schedule A of E•••• I••• (listed 2023-03-17, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- J••••• C••••• C•••••••• (Portfolio Manager) appeared on Schedule A of E•••• I•••Mar 18, 2020 · 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 phone
- 813-960-9600reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E•••INC.ORGreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 813-960-9600reportedpublic record, Form ADV, Mar 5, 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
- $49.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026