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•• A••••••• I••

Former SEC-registered adviserErie, PennsylvaniaCRD 110795SEC 801-23610IAPD
Latest filing Feb 13, 2014
First filing on the tape Mar 29, 2012 · 3 filings
RAUM
$141M
reported, Item 5.F
Discretionary
100%
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
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$141M as of Feb 13, 2014
Mar 29, 2012$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 13, 2014
Mar 29, 20120 then
Employees (5.A)4 as of Feb 13, 2014
Mar 28, 20135 then
Private funds: no history
RAUM +11% over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Feb 13, 2014; every figure names its basis
RAUM per advisor
$35.2MderivedRAUM 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
$380,979derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%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, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, educational seminars, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
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
370reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • E•••••••• S•••••• T••••• · Secretarycontrol
        since 08/2007 · owns less than 5%
      • E••••• J••••••• W•••••• · Presidentcontrol
        since 01/2001 · owns less than 5%
      • L•••••• A•••••• A•••••• · Treasurer, Chief Compliance Officercontrol
        since 08/2007 · owns less than 5%
      Entity owners
      • E•••• C•••••• M••••••••• I••• · Parent Company/Owner
        direct · owns 75% or more
      • N•••••••• B••••••••• I••• · Holding Company
        indirect · owns 75% or more of N•••••••• S•••••• B••• · public reporting company
      • N•••••••• S•••••• B••• · Shareholder
        indirect · owns 75% or more of E•••• Capital Management
      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 · 354 to 370
        Mar 28, 2013 to Feb 13, 2014
      • Advisory activities · 6 to 5
        Mar 28, 2013 to Feb 13, 2014
      • BD registered reps · 5 to 4
        Mar 28, 2013 to Feb 13, 2014
      • Employees · 5 to 4
        Mar 28, 2013 to Feb 13, 2014
      • Insurance-licensed employees · 0 to 4
        Mar 28, 2013 to Feb 13, 2014
      • State-registered IARs · 0 to 4
        Mar 28, 2013 to Feb 13, 2014
      • Discretionary RAUM · $127M to $141M
        Mar 28, 2013 to Feb 13, 2014
      • RAUM · $127M to $141M
        Mar 28, 2013 to Feb 13, 2014
      • Related adviser · false to true
        Mar 28, 2013 to Feb 13, 2014
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Mar 28, 2013
      • BD registered reps · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • Employees · unset to 5.0
        Mar 29, 2012 to Mar 28, 2013
      • Discretionary RAUM · $113M to $127M
        Mar 29, 2012 to Mar 28, 2013
      • RAUM · $113M to $127M
        Mar 29, 2012 to Mar 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