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••••••••• A•••••••••
Legal name R••• E•••• C•• I•••
Latest filing Jul 2, 2026
First filing on the tape Mar 15, 2012 · 26 filings
SEC status approved since Oct 31, 2017
RAUM
$683M
reported, Item 5.F
Discretionary
3.5%
of RAUM
Private clients
91%
$620M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$683M as of Jul 2, 2026
Jul 30, 2018$125M then
HNW client RAUM$574M as of Jul 2, 2026
Jul 30, 2018$79.3M then
State-registered IARs (5.B.3)3 as of Jul 2, 2026
Jul 30, 20183 then
Employees (5.A)3 as of Jul 2, 2026
Jul 30, 20184 then
Private funds: no history
RAUM +47% over the last fiscal year+39% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 2, 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
- RAUM per advisor
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 105derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $690,181derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.5%derivedof RAUM
- Institutional
- 9.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $620M, 419 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$574M84%
- Pension and profit-sharing plans$62.6M9.2%
- Individuals$45.7M6.7%
- Individual clients
- 221reported
- HNW clients
- 198reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 989reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $620M for 419 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J••• E••••Certified Financial Planner, Chartered Financial Consultant | Bellevue, Wa | Dec 4, 1991 | 42 y | 1 |
| B•••• W•••••• L••••Certified Financial Planner | Bellevue, Wa | Oct 30, 2020 | 33 y | 0 |
| C••••• N••••• H•••••••Certified Financial Planner | Bellevue, Wa | Jan 18, 2021 | 11 y | 0 |
| J••••• L•••• E•••• | Bellevue, Wa | Jul 30, 2026 | 13 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
- E••••• D•••••• J••• · Ownercontrolsince 01/1996 · owns 25% to 50% of E•••• F•••••••• S••••••• L••
- E••••• D••••••• L•••• · Ownercontrolsince 01/1996 · owns 25% to 50% of E•••• F•••••••• S••••••• L••
- H••••••• M••••••• · Ownercontrolsince 01/1996 · owns 25% to 50% of E•••• F•••••••• S••••••• L••
- K•••••• R•••••• · Ownercontrolsince 01/1996 · owns 25% to 50% of E•••• F•••••••• S••••••• L••
- E••••• D•••••• J••• · Vice-President, Managing Executive, Managing Principal, Chief Investment Strategist, Chief Compliance Officersince 02/1999 · owns less than 5%
- E••••• D••••••• L•••• · Presidentsince 01/1996 · owns less than 5%
Entity owners
- E•••• F•••••••• S••••••• L•• · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bellevue, Wa · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,040 to 989Mar 3, 2026 to Jul 2, 2026
- HNW clients · 130 to 198Mar 3, 2026 to Jul 2, 2026
- Individual clients · 292 to 221Mar 3, 2026 to Jul 2, 2026
- Pension plan clients · 13 to 12Mar 3, 2026 to Jul 2, 2026
- Assets in custody · $93.7M to $620MMar 3, 2026 to Jul 2, 2026
- Discretionary RAUM · $481M to $23.6MMar 3, 2026 to Jul 2, 2026
- HNW RAUM · $411M to $574MMar 3, 2026 to Jul 2, 2026
- Individual RAUM · $83.6M to $45.7MMar 3, 2026 to Jul 2, 2026
- Non-discretionary RAUM · $64.5M to $659MMar 3, 2026 to Jul 2, 2026
- Pension RAUM · $50.2M to $62.6MMar 3, 2026 to Jul 2, 2026
- RAUM · $545M to $683MMar 3, 2026 to Jul 2, 2026
- Accounts · 1,028 to 1,040Oct 18, 2024 to Jun 9, 2025
- HNW clients · 105 to 130Oct 18, 2024 to Jun 9, 2025
- Individual clients · 374 to 292Oct 18, 2024 to Jun 9, 2025
- Pension plan clients · 10 to 13Oct 18, 2024 to Jun 9, 2025
- Employees · 4 to 3Oct 18, 2024 to Jun 9, 2025
- Financial planning clients · 101-250 to 101-250Oct 18, 2024 to Jun 9, 2025
- Discretionary RAUM · $372M to $481MOct 18, 2024 to Jun 9, 2025
- HNW RAUM · $336M to $411MOct 18, 2024 to Jun 9, 2025
- Individual RAUM · $80.0M to $83.6MOct 18, 2024 to Jun 9, 2025
- Non-discretionary RAUM · $92.3M to $64.5MOct 18, 2024 to Jun 9, 2025
- Pension RAUM · $47.5M to $50.2MOct 18, 2024 to Jun 9, 2025
- RAUM · $464M to $545MOct 18, 2024 to Jun 9, 2025
- Accounts · 801 to 1,028Jul 21, 2023 to Jul 2, 2024
- HNW clients · 79 to 105Jul 21, 2023 to Jul 2, 2024
- Individual clients · 327 to 374Jul 21, 2023 to Jul 2, 2024
- Pension plan clients · unset to 10.0Jul 21, 2023 to Jul 2, 2024
- Assets in custody · $55.0M to $93.7MJul 21, 2023 to Jul 2, 2024
- Custody of client assets · false to trueJul 21, 2023 to Jul 2, 2024
- Employees · 3 to 4Jul 21, 2023 to Jul 2, 2024
- Discretionary RAUM · $215M to $372MJul 21, 2023 to Jul 2, 2024
- HNW RAUM · $215M to $336MJul 21, 2023 to Jul 2, 2024
- Individual RAUM · $69.7M to $80.0MJul 21, 2023 to Jul 2, 2024
- Non-discretionary RAUM · $69.9M to $92.3MJul 21, 2023 to Jul 2, 2024
- Pension RAUM · unset to 47506181.0Jul 21, 2023 to Jul 2, 2024
- RAUM · $285M to $464MJul 21, 2023 to Jul 2, 2024
- Accounts · 803 to 801Dec 6, 2022 to Jul 21, 2023
- HNW clients · 89 to 79Dec 6, 2022 to Jul 21, 2023
- Individual clients · 313 to 327Dec 6, 2022 to Jul 21, 2023
- Assets in custody · $52.8M to $55.0MDec 6, 2022 to Jul 21, 2023
Signals
5 dated events
- E•••• C•••••• M••••••••• A••••••••• reported RAUM $682.6M, up 25% from $545.0M (2026-03-03 to 2026-07-02)Jul 2, 2026 · RAUM change · derived
- E•••• C•••••• M••••••••• A••••••••• reported RAUM $463.9M, up 63% from $284.8M (2023-07-21 to 2024-07-02)Jul 2, 2024 · RAUM change · derived
- M••••••• H•••••• (Owner) appeared on Schedule A of E•••• C•••••• M••••••••• A•••••••••Jul 30, 2019 · Control person joined · fact
- R•••••• K••••• (Owner) appeared on Schedule A of E•••• C•••••• M••••••••• A•••••••••Jul 30, 2019 · Control person joined · fact
- E•••• C•••••• M••••••••• A••••••••• filed its initial SEC registration (Form ADV)Sep 25, 2017 · 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
- a••••@r••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 425-455-0501reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/E••••-CAPITAL-MANAGEMENT-ASSOCIATES/ABOreportedpublic record, Form ADV, Sep 18, 2026
- Website
- RLE••••CO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 425-455-0501reportedpublic record, Form ADV, Jul 2, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026