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•••••• R••••••• C••••
Legal name E•••••• R••••••• C•••••••••
Latest filing Feb 17, 2026
First filing on the tape Mar 1, 2012 · 18 filings
SEC status approved since Aug 3, 2001
RAUM
$9.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.4M
derived; firm RAUM over IAPD count
Employees
1
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$9.4M as of Feb 17, 2026
Mar 1, 2012$2.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 17, 2026
Mar 1, 20120 then
Employees (5.A)1 as of Feb 17, 2026
Feb 25, 20130 then
Private funds: no history
RAUM +11% over the last fiscal year+14% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $9.4MderivedRAUM 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
- $9.4MderivedRAUM 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
- 1.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$9.4M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• J••• L••••• | Colts Neck, Nj | Jan 1, 2026 | 30 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
- L•••••• P••••• J••• · President/Chief Compliance Officercontrolsince 03/1996 · owns 75% or more
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
- Discretionary RAUM · $8.5M to $9.4MFeb 4, 2025 to Feb 17, 2026
- RAUM · $8.5M to $9.4MFeb 4, 2025 to Feb 17, 2026
- Financial planning clients · unset to Feb 5, 2024 to Feb 4, 2025
- HQ city · unset to Feb 5, 2024 to Feb 4, 2025
- HQ state · unset to Feb 5, 2024 to Feb 4, 2025
- Discretionary RAUM · $7.9M to $8.5MFeb 5, 2024 to Feb 4, 2025
- RAUM · $7.9M to $8.5MFeb 5, 2024 to Feb 4, 2025
- Discretionary RAUM · $6.3M to $7.9MFeb 7, 2023 to Feb 5, 2024
- RAUM · $6.3M to $7.9MFeb 7, 2023 to Feb 5, 2024
- Discretionary RAUM · $8.3M to $6.3MFeb 9, 2022 to Feb 7, 2023
- RAUM · $8.3M to $6.3MFeb 9, 2022 to Feb 7, 2023
- Discretionary RAUM · $5.9M to $8.3MFeb 9, 2021 to Feb 9, 2022
- RAUM · $5.9M to $8.3MFeb 9, 2021 to Feb 9, 2022
- Discretionary RAUM · $5.2M to $5.9MJul 1, 2020 to Feb 9, 2021
- RAUM · $5.2M to $5.9MJul 1, 2020 to Feb 9, 2021
- Employees · 0 to 1Feb 13, 2020 to Jul 1, 2020
- Discretionary RAUM · $3.8M to $5.2MJan 22, 2019 to Feb 13, 2020
- RAUM · $3.8M to $5.2MJan 22, 2019 to Feb 13, 2020
- Discretionary RAUM · $3.8M to $3.8MFeb 1, 2018 to Jan 22, 2019
- RAUM · $3.8M to $3.8MFeb 1, 2018 to Jan 22, 2019
- Other offices · unset to 0.0Feb 6, 2017 to Feb 1, 2018
- Discretionary RAUM · $3.2M to $3.8MFeb 6, 2017 to Feb 1, 2018
- RAUM · $3.2M to $3.8MFeb 6, 2017 to Feb 1, 2018
- Discretionary RAUM · $2.9M to $3.2MFeb 23, 2016 to Feb 6, 2017
- RAUM · $2.9M to $3.2MFeb 23, 2016 to Feb 6, 2017
- Discretionary RAUM · $3.2M to $2.9MFeb 3, 2015 to Feb 2, 2016
- RAUM · $3.2M to $2.9MFeb 3, 2015 to Feb 2, 2016
- Discretionary RAUM · $2.9M to $3.2MFeb 10, 2014 to Feb 3, 2015
- RAUM · $2.9M to $3.2MFeb 10, 2014 to Feb 3, 2015
- Discretionary RAUM · $2.4M to $2.9MFeb 25, 2013 to Feb 10, 2014
- RAUM · $2.4M to $2.9MFeb 25, 2013 to Feb 10, 2014
- Employees · unset to 0.0Mar 1, 2012 to Feb 25, 2013
- Discretionary RAUM · $2.3M to $2.4MMar 1, 2012 to Feb 25, 2013
- RAUM · $2.3M to $2.4MMar 1, 2012 to Feb 25, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 732-842-3465reportedpublic record, Form ADV, Feb 17, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026