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•••• R••••••••• A•••••••
Latest filing Feb 9, 2022
First filing on the tape Mar 15, 2018 · 12 filings
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$211M as of Feb 9, 2022
Mar 27, 2019$154M then
HNW client RAUM$97.6M as of Mar 25, 2021
Mar 27, 2019$87.6M then
State-registered IARs (5.B.3)2 as of Feb 9, 2022
Mar 27, 20195 then
Employees (5.A)4 as of Feb 9, 2022
Mar 27, 20197 then
Private funds: no history
RAUM +8.9% over the last fiscal year+11% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Feb 9, 2022; every figure names its basis
- RAUM per advisor
- $105MderivedRAUM 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
- $676,916derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -60%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, commissionsreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$211M100%
- Individual clients
- 219reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 311reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, commissionsreported
- 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
- H••••• D••• E•••• to E•••••• F•••••••• E••••••Dec 31, 2022 · RIA to RIA
- A••••• E•••••••• to C••••• I••••••••• A••••••• L••Sep 19, 2022 · RIA to affiliated broker-dealer or bank
- L••• P••••••• S•••••• to C••••• A•••••• N••••••• L••Jul 10, 2019 · RIA to affiliated broker-dealer or bank
- K••• W•••••• C•••••• to C•••••• C•••••• P•••••••Jul 18, 2018 · RIA to RIA
Joined, latest
- K••• W•••••• C•••••• from C••••• A•••••• N••••••• L••May 31, 2018 · Affiliated broker-dealer or bank to independent RIA
- L••• P••••••• S•••••• from C••••• A•••••• N••••••• L••Jan 27, 2017 · Other
- A••••• E•••••••• from B••••••• I••••••••• S•••••••• I••• •••••Jan 26, 2017 · Other
- H••••• D••• E•••• from C••••• A•••••• N••••••• L••Jun 7, 2011 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• H•••••• D••• · President/Chief Compliance Officercontrolsince 01/2009 · owns 25% to 50%
- S••••••••• J•••• A•• · Vice Presidentcontrolsince 01/2009 · owns 25% to 50%
- B•••••• M•••• L• · Membersince 01/2009 · owns less than 5%
- E••••• M••• S••••••• · Membersince 01/2009 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 229 to 311Aug 5, 2021 to Feb 9, 2022
- Advisory employees · 3 to 2Aug 5, 2021 to Feb 9, 2022
- BD registered reps · 4 to 3Aug 5, 2021 to Feb 9, 2022
- HNW clients · 57.0 to unsetAug 5, 2021 to Feb 9, 2022
- Individual clients · 220 to 219Aug 5, 2021 to Feb 9, 2022
- Employees · 6 to 4Aug 5, 2021 to Feb 9, 2022
- Insurance-licensed employees · 4 to 2Aug 5, 2021 to Feb 9, 2022
- State-registered IARs · 4 to 2Aug 5, 2021 to Feb 9, 2022
- Discretionary RAUM · $193M to $211MAug 5, 2021 to Feb 9, 2022
- HNW RAUM · 97550082.0 to unsetAug 5, 2021 to Feb 9, 2022
- Individual RAUM · $95.8M to $211MAug 5, 2021 to Feb 9, 2022
- RAUM · $193M to $211MAug 5, 2021 to Feb 9, 2022
- BD registered reps · 5 to 4Mar 25, 2021 to Aug 5, 2021
- Employees · 8 to 6Mar 25, 2021 to Aug 5, 2021
- Insurance-licensed employees · 5 to 4Mar 25, 2021 to Aug 5, 2021
- State-registered IARs · 5 to 4Mar 25, 2021 to Aug 5, 2021
- Accounts · 220 to 229Jun 29, 2020 to Mar 25, 2021
- Discretionary RAUM · $186M to $193MJun 29, 2020 to Mar 25, 2021
- HNW RAUM · $93.9M to $97.6MJun 29, 2020 to Mar 25, 2021
- Individual RAUM · $92.2M to $95.8MJun 29, 2020 to Mar 25, 2021
- RAUM · $186M to $193MJun 29, 2020 to Mar 25, 2021
- Accounts · 207 to 220Jul 31, 2019 to Feb 25, 2020
- HNW clients · 52 to 57Jul 31, 2019 to Feb 25, 2020
- Individual clients · 155 to 220Jul 31, 2019 to Feb 25, 2020
- Employees · 7 to 8Jul 31, 2019 to Feb 25, 2020
- Discretionary RAUM · $154M to $186MJul 31, 2019 to Feb 25, 2020
- HNW RAUM · $87.6M to $93.9MJul 31, 2019 to Feb 25, 2020
- Individual RAUM · $66.7M to $92.2MJul 31, 2019 to Feb 25, 2020
- RAUM · $154M to $186MJul 31, 2019 to Feb 25, 2020
- Accounts · 212 to 207Jul 18, 2018 to Mar 27, 2019
- HNW clients · unset to 52.0Jul 18, 2018 to Mar 27, 2019
- Individual clients · 250 to 155Jul 18, 2018 to Mar 27, 2019
- Discretionary RAUM · $119M to $154MJul 18, 2018 to Mar 27, 2019
- HNW RAUM · unset to 87564505.0Jul 18, 2018 to Mar 27, 2019
- Individual RAUM · $119M to $66.7MJul 18, 2018 to Mar 27, 2019
- RAUM · $119M to $154MJul 18, 2018 to Mar 27, 2019
- State-registered IARs · 6 to 5Jun 12, 2018 to Jul 18, 2018
- BD registered reps · 6 to 5Jun 12, 2018 to Jul 18, 2018
- Employees · 8 to 7Jun 12, 2018 to Jul 18, 2018
- Insurance-licensed employees · 6 to 5Jun 12, 2018 to Jul 18, 2018
Signals
3 dated events
- H••••• D••• E•••• left E•••• R••••••••• A••••••• for E•••••• F•••••••• E•••••• (registered 2023-04-21)Dec 31, 2022 · a•••••• firm change · fact
- A••••• E•••••••• left E•••• R••••••••• A••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Sep 19, 2022 · a•••••• firm change · fact
- E•••• R••••••••• A••••••• filed its initial SEC registration (Form ADV)Mar 15, 2018 · 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.
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