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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

E••••••

Former SEC-registered adviserChicago, IllinoisCRD 110781SEC 801-16134IAPD
Legal name J••• E•••••• • A••••••••• I•••
Latest filing Aug 26, 2021
First filing on the tape Nov 18, 2011 · 20 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.0%
$14.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
56
48 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.4B as of Mar 31, 2021
Mar 31, 2014$647M then
HNW client RAUM$14.9M as of Mar 31, 2021
Mar 30, 2018$7.0M then
State-registered IARs (5.B.3)15 as of Mar 31, 2021
Mar 29, 20120 then
Employees (5.A)56 as of Mar 31, 2021
Mar 28, 201340 then
Private funds: no history
RAUM +13% over the last fiscal year+7.4% a year over threeIARs 13 to 15
Practice profile
derived from the filing of Aug 26, 2021; every figure names its basis
RAUM per advisor
$95.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.7MderivedHNW RAUM over HNW clients
Average account
$68.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
99%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.7derivedItem 5.A over advisors
Advisors per office
7.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+15%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminars, 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
  • 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
  • Charitable organizations$1.1B79%
  • Pension and profit-sharing plans$289M20%
  • High-net-worth individuals$14.9M1.0%
Individual clients
n/areported
HNW clients
4reported
Pension plan clients
3reported
Charitable clients
14reported
Accounts
21reported
Financial planning clients
n/areported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• T••••••• R•••••• · Board Directorcontrol
        since 01/2019 · owns less than 5%
      • F•••••••• A••••••••• S•••••• · Managing Directorcontrol
        since 01/2019 · owns less than 5%
      • G•••••• D•••••• R•••••• · Managing Directorcontrol
        since 02/2004 · owns less than 5%
      • H•••• R••••••• W••••••• · Board Director (Independent), Chairmancontrol
        since 02/2004 · owns less than 5%
      • S••••• D•••••• E••• · Managing Directorcontrol
        since 01/2019 · owns less than 5%
      • T•••• M• S••••• B• · Board Director / Secretary, Managing Director, Chief Compliance Officercontrol
        since 02/2004 · owns less than 5%
      • W•••• A••••• W•••••• · President, Managing Directorcontrol
        since 01/2019 · owns less than 5%
      • Y••••••• K••••• G•••• · Board Directorcontrol
        since 01/2019 · owns less than 5%
      Entity owners
      • J••• E•••••• • A••••••••• I••• E••••••• S•••• O•••••••• P••• · Sole Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwood Village, CO6 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 49 to 48
        Jun 30, 2020 to Mar 31, 2021
      • State-registered IARs · 13 to 15
        Jun 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.3B to $1.4B
        Jun 30, 2020 to Mar 31, 2021
      • HNW RAUM · $12.0M to $14.9M
        Jun 30, 2020 to Mar 31, 2021
      • Pension RAUM · $242M to $289M
        Jun 30, 2020 to Mar 31, 2021
      • RAUM · $1.3B to $1.4B
        Jun 30, 2020 to Mar 31, 2021
      • Accounts · 19 to 21
        May 16, 2019 to Mar 30, 2020
      • Advisory employees · 44 to 49
        May 16, 2019 to Mar 30, 2020
      • Charity clients · 12 to 14
        May 16, 2019 to Mar 30, 2020
      • Employees · 54 to 56
        May 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $1.0B to $1.3B
        May 16, 2019 to Mar 30, 2020
      • HNW RAUM · $10.1M to $12.0M
        May 16, 2019 to Mar 30, 2020
      • Pension RAUM · $210M to $242M
        May 16, 2019 to Mar 30, 2020
      • RAUM · $1.0B to $1.3B
        May 16, 2019 to Mar 30, 2020
      • Accounts · 15 to 19
        Mar 30, 2018 to Mar 29, 2019
      • Advisory employees · 47 to 44
        Mar 30, 2018 to Mar 29, 2019
      • Charity clients · 11 to 12
        Mar 30, 2018 to Mar 29, 2019
      • HNW clients · 2 to 4
        Mar 30, 2018 to Mar 29, 2019
      • Pension plan clients · 2 to 3
        Mar 30, 2018 to Mar 29, 2019
      • Employees · 57 to 54
        Mar 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 30, 2018 to Mar 29, 2019
      • HNW RAUM · $7.0M to $10.1M
        Mar 30, 2018 to Mar 29, 2019
      • Pension RAUM · $219M to $210M
        Mar 30, 2018 to Mar 29, 2019
      • RAUM · $1.2B to $1.0B
        Mar 30, 2018 to Mar 29, 2019
      • Accounts · 12 to 15
        Oct 27, 2017 to Mar 30, 2018
      • Advisory employees · 44 to 47
        Oct 27, 2017 to Mar 30, 2018
      • Advisory activities · 5 to 6
        Oct 27, 2017 to Mar 30, 2018
      • Charity clients · 8 to 11
        Oct 27, 2017 to Mar 30, 2018
      • Employees · 55 to 57
        Oct 27, 2017 to Mar 30, 2018
      • State-registered IARs · 10 to 13
        Oct 27, 2017 to Mar 30, 2018
      • Discretionary RAUM · $791M to $1.2B
        Oct 27, 2017 to Mar 30, 2018
      • HNW RAUM · $6.4M to $7.0M
        Oct 27, 2017 to Mar 30, 2018
      • Pension RAUM · $199M to $219M
        Oct 27, 2017 to Mar 30, 2018
      • RAUM · $791M to $1.2B
        Oct 27, 2017 to Mar 30, 2018
      • Charity clients · unset to 8.0
        Mar 31, 2017 to Oct 27, 2017
      • HNW clients · unset to 2.0
        Mar 31, 2017 to Oct 27, 2017
      • Pension plan clients · unset to 2.0
        Mar 31, 2017 to Oct 27, 2017
      • Other offices · unset to 1.0
        Mar 31, 2017 to Oct 27, 2017
      • HNW RAUM · unset to 6413664.0
        Mar 31, 2017 to Oct 27, 2017
      • Pension RAUM · unset to 198518167.0
        Mar 31, 2017 to Oct 27, 2017
      Signals
      7 dated events
      • Jason Bradley Levandoski (Board Director / Co-President, Managing Director) no longer on Schedule A of Ellwood (listed 2019-03-29, absent 2019-05-16)
        May 16, 2019 · Control person left · inference
      • Richard Timothy Egan (Board Director) appeared on Schedule A of Ellwood
        Mar 29, 2019 · Control person joined · fact
      • Glenn Kevin Yoshida (Board Director) appeared on Schedule A of Ellwood
        Mar 29, 2019 · Control person joined · fact
      • Waldman Aaron Ward (Board Director/Co-President, Managing Director) appeared on Schedule A of Ellwood
        Mar 29, 2019 · Control person joined · fact
      • Eric Daniel Simon (Board Director / Managing Director) appeared on Schedule A of Ellwood
        Mar 29, 2019 · Control person joined · fact
      • Stewart Alexander Farquhar (Board Director / Managing Director) appeared on Schedule A of Ellwood
        Mar 29, 2019 · Control person joined · fact
      • Ellwood reported RAUM $1.2B, up 47% from $791.1M (2017-10-27 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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