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••••••• A••••••••• I•••
Latest filing Aug 12, 2026
First filing on the tape Dec 15, 2011 · 42 filings
SEC status approved since May 14, 1984
RAUM
$1.5B
reported, Item 5.F
Discretionary
90%
of RAUM
Private clients
98%
$1.4B individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$134M
derived; firm RAUM over IAPD count
Employees
17
10 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$1.5B as of Aug 12, 2026
Dec 15, 2011$450M then
HNW client RAUM$1.1B as of Aug 12, 2026
Mar 7, 2018$498M then
State-registered IARs (5.B.3)10 as of Aug 12, 2026
Mar 5, 20136 then
Employees (5.A)17 as of Aug 12, 2026
Mar 5, 201312 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 9 to 10offices 1 to 2
Practice profile
derived from the filing of Aug 12, 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
- Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
- RAUM per advisor
- $134MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 110derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $343,473derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 90%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Financial planning clients
- 1,500reportedItem 5.H
- Custody
- $555M, 560 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B76%
- Individuals$318M22%
- Charitable organizations$21.6M1.5%
- Corporations and businesses$5.0M0.3%
- Pension and profit-sharing plans$2.6M0.2%
- Individual clients
- 797reported
- HNW clients
- 410reported
- Pension plan clients
- n/areported
- Charitable clients
- 15reported
- Accounts
- 4,290reported
- Financial planning clients
- 1,500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $555M for 560 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• K••••• L•••••Certified Financial Planner, Chartered Financial Analyst | Fullerton, Ca | Oct 15, 2003 | 10 y | 0 |
| C••• W••• L••••••Certified Financial Planner | Fullerton, Ca | Aug 6, 2004 | 22 y | 0 |
| R•••••• W•••••• H•••Certified Financial Planner | Fullerton, Ca | Oct 17, 2007 | 19 y | 0 |
| D•••• K•••••• M••••••Certified Financial Planner, Chartered Financial Analyst | Fullerton, Ca | Aug 7, 2009 | 16 y | 0 |
| A•••• E• C•••••••Certified Financial Planner | Fullerton, Ca | Oct 12, 2015 | 24 y | 1 |
| T••••• J••• M••••••Certified Financial Planner, Chartered Financial Analyst | Fullerton, Ca | Jan 14, 2016 | 13 y | 0 |
| J•••• I•• M••••Certified Financial Planner | Gunter, Tx | May 23, 2016 | 10 y | 0 |
| A•••• M••••••• S••••••••Certified Financial Planner | Fullerton, Ca | Aug 18, 2021 | 12 y | 0 |
| C••••••• L•••• H••••••Certified Financial Planner | Fullerton, Ca | Jul 22, 2024 | 12 y | 0 |
| R•••••• E••••• M••••••Chartered Financial Analyst | Fullerton, Ca | Jan 8, 2026 | 31 y | 1 |
| D••••• S•••• N•••••Certified Financial Planner | Fullerton, Ca | Aug 5, 2026 | 11 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- S•••• A••••• R•••• to O•• A••••••• P•••••••• L••Mar 3, 2025 · RIA to RIA
Joined, latest
- R•••••• E••••• M•••••• from S•••••••• C•••••• M•••••••••Jan 8, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• P•••••••• · Chief Compliance Officercontrolsince 01/2016 · owns less than 5%
- C•••• C•••• J•••••• · Director K. L••••• And J•••• A. L••••• L••••• Trust Uadcontrolsince 06/1984 · owns less than 5%
- L••••••• C•••• W••••• · Vice President (Since 06/2016), Trustee Of Thecontrolsince 01/2016 · owns 10% to 25%
- L•••••• D••••• K••••• · President (Since 06/2016), Trustee Of The D•••• K• L••••• A•• J•••• A• L••••• L••••• T•••• U•• 0•••••••••, Chairman, Directorcontrolsince 01/2024 · owns 25% to 50%
- L•••••• J••••• A•• · Trustee Of The D•••• K• L••••• A•• J•••• A• L••••• L••••• T•••• U•• 0•••••••••, Directorcontrolsince 11/2008 · owns 25% to 50%
- M••••••• D••••• K•••••• · Chief Investment Officer, Shareholdercontrolsince 07/2019 · owns 5% to 10%
- M••••• J••••• I•• · Shareholdercontrolsince 01/2024 · owns less than 5%
- R••••• S••••• A••••• · Vice Presidentcontrolsince 06/2016 · owns 10% to 25%
- C•••••••• A••••• E• · Trustee Of The C••••••• Family J•••• L•••••since 01/2021 · owns less than 5%
- C•••••••• A••••• · Trustee Of The C••••••• Family J•••• L•••••since 01/2021 · owns less than 5%
- H•••• C•••••• S••• · Trustee Of The H••• L••••• Trust 2015 Dtdsince 01/2017 · owns less than 5%
- H•••• R••••••• W•••••• · Trustee Of The H••• L••••• Trust 2015 Dtdsince 01/2017 · owns less than 5%
- L••••••• M•••••• N••• · Trustee Of The L•••••• Family Trust D••••since 01/2016 · owns 10% to 25%
- M••••••• R•••••• · Trustee Of The M•••••• L••••• Trust D••••since 01/2020 · owns 10% to 25%
- M••••••• T•••••• J••• · Trustee Of The M•••••• L••••• Trust D••••since 01/2020 · owns 10% to 25%
Entity owners
- C••••••• F••••• J•••• L••••• T•••• D•• 1••••••••• · Shareholderdirect · owns less than 5%
- D•••• K• L••••• A•• J•••• A• L••••• L••••• T•••• U•• 0••••••••• · Shareholderdirect · owns 25% to 50%
- H••• L••••• T•••• 2••• D•• 0••••••••• · Shareholderdirect · owns 5% to 10%
- L•••••• F••••• T•••• D•••• 2•••••••• · Shareholderdirect · owns 10% to 25%
- M•••••• L••••• T••••• D•••• 0••••••••• · Shareholderdirect · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Fullerton, Ca · principal | 11 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 12, 2026M••••• J••••• I•• (SHAREHOLDER) appeared on Schedule A between the filings of 2021-02-23 and 2026-08-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 12, 2026R••••• S••••• A••••• (VICE PRESIDENT) left Schedule A between the filings of 2021-02-23 and 2026-08-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 12, 2026L•••••• D••••• K••••• (PRESIDENT (SINCE 06/2016), TRUSTEE OF THE D•••• K• L••••• A•• J•••• A• L••••• L••••• T•••• U•• 0•••••••••, CHAIRMAN, DIRECTOR) left Schedule A between the filings of 2021-02-23 and 2026-08-12peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Aug 12, 2026L•••••• J••••• A•• (TRUSTEE OF THE D•••• K• L••••• A•• J•••• A• L••••• L••••• T•••• U•• 0•••••••••, DIRECTOR) left Schedule A between the filings of 2021-02-23 and 2026-08-12peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 3,743 to 4,290Apr 8, 2025 to Feb 3, 2026
- Advisory employees · 9 to 10Apr 8, 2025 to Feb 3, 2026
- Charity clients · 12 to 15Apr 8, 2025 to Feb 3, 2026
- HNW clients · 341 to 410Apr 8, 2025 to Feb 3, 2026
- Individual clients · 685 to 797Apr 8, 2025 to Feb 3, 2026
- Assets in custody · $462M to $555MApr 8, 2025 to Feb 3, 2026
- Employees · 15 to 17Apr 8, 2025 to Feb 3, 2026
- State-registered IARs · 9 to 10Apr 8, 2025 to Feb 3, 2026
- Other offices · 1 to 2Apr 8, 2025 to Feb 3, 2026
- Discretionary RAUM · $1.1B to $1.3BApr 8, 2025 to Feb 3, 2026
- HNW RAUM · $924M to $1.1BApr 8, 2025 to Feb 3, 2026
- Individual RAUM · $273M to $318MApr 8, 2025 to Feb 3, 2026
- Non-discretionary RAUM · $142M to $141MApr 8, 2025 to Feb 3, 2026
- Pension RAUM · $2.3M to $2.6MApr 8, 2025 to Feb 3, 2026
- RAUM · $1.2B to $1.5BApr 8, 2025 to Feb 3, 2026
- Financial planning clients · More than 500 to More than 500Mar 4, 2025 to Apr 8, 2025
- Accounts · 3,341 to 3,743Oct 23, 2024 to Mar 4, 2025
- Charity clients · 13 to 12Oct 23, 2024 to Mar 4, 2025
- HNW clients · 277 to 341Oct 23, 2024 to Mar 4, 2025
- Individual clients · 629 to 685Oct 23, 2024 to Mar 4, 2025
- Assets in custody · $402M to $462MOct 23, 2024 to Mar 4, 2025
- Discretionary RAUM · $921M to $1.1BOct 23, 2024 to Mar 4, 2025
- HNW RAUM · $751M to $924MOct 23, 2024 to Mar 4, 2025
- Individual RAUM · $278M to $273MOct 23, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $133M to $142MOct 23, 2024 to Mar 4, 2025
- Pension RAUM · $2.1M to $2.3MOct 23, 2024 to Mar 4, 2025
- RAUM · $1.1B to $1.2BOct 23, 2024 to Mar 4, 2025
- Other offices · 0 to 1Feb 16, 2024 to Jul 26, 2024
- Accounts · 3,132 to 3,341Feb 16, 2023 to Feb 16, 2024
- HNW clients · 271 to 277Feb 16, 2023 to Feb 16, 2024
- Individual clients · 602 to 629Feb 16, 2023 to Feb 16, 2024
- Assets in custody · $338M to $402MFeb 16, 2023 to Feb 16, 2024
- Discretionary RAUM · $814M to $921MFeb 16, 2023 to Feb 16, 2024
- HNW RAUM · $680M to $751MFeb 16, 2023 to Feb 16, 2024
- Individual RAUM · $221M to $278MFeb 16, 2023 to Feb 16, 2024
- Non-discretionary RAUM · $109M to $133MFeb 16, 2023 to Feb 16, 2024
- Pension RAUM · $1.9M to $2.1MFeb 16, 2023 to Feb 16, 2024
- RAUM · $923M to $1.1BFeb 16, 2023 to Feb 16, 2024
- Accounts · 3,080 to 3,132Oct 12, 2022 to Feb 16, 2023
- HNW clients · 312 to 271Oct 12, 2022 to Feb 16, 2023
Signals
3 dated events
- S•••• A••••• R•••• left E••••••• A••••••••• I••• for O•• A••••••• P•••••••• L•• (registered 2025-08-26)Mar 3, 2025 · Advisor changed firm · fact
- Dolan Judith Camp (Director) no longer on Schedule A of E••••••• A••••••••• I••• (listed 2023-02-16, absent 2024-02-16)Feb 16, 2024 · Control person left · inference
- Kenneth David Macleod (Chief Investment Officer, Shareholder) appeared on Schedule A of E••••••• A••••••••• I•••Feb 6, 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
- 714-738-0220reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 714-738-0483reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/E•••••••-ASSOCIATES-INC-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-738-0220reportedpublic record, Form ADV, Aug 12, 2026
- Team page
- eclecticassociates.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $134Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026