DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

E•••• L• F••••• J•• C••• C••• C•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $180M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$180M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+2.9%
Form ADV, consecutive annual filings
Private clients
100%
of RAUM, $180M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +2.9%
    RAUM, one year

    RAUM $175M to $180M (+2.9%) on the Form ADV filed 2 Apr 2026.

    The one filed measure of whether clients are staying.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 114269 · SEC 801-62800 · 19 filingsShow
CRD 114269SEC 801-62800Legal name F••••• E•••• L•••••First filing on the tape Mar 15, 2012, latest Apr 2, 2026SEC status approved since Feb 13, 2004IAPD
RAUM
$180M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$180M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape

RAUM +0.0% a year over three years · the tape starts Mar 15, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$180M as of Apr 2, 2026
Mar 15, 2012$125M then
HNW client RAUM$180M as of Apr 2, 2026
Mar 23, 2018$175M then
State-registered IARs (5.B.3)0 as of Apr 2, 2026
Mar 15, 20120 then
Employees (5.A)3 as of Apr 2, 2026
Mar 7, 20132 then
Private funds: no history
RAUM +2.9% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.5MderivedHNW RAUM over HNW clients
Average account
$4.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+2.9%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 feesreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$180M100%
Individual clients
n/areported
HNW clients
40reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
40reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• E••••• L••••• · Principal, Chief Compliance Officercontrol
        since 01/2000 · owns 75% or more
      Related persons
      Schedule D 7.A
      • E•••• L• F••••• P•••
        y
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • low discretionary shareStatic outlier · filing Apr 2, 2026
        discretionary share of RAUM of 0% against a peer median of 100% (5683 comparable advisers, 0.0th percentile, 33.7 robust deviations)
        peers: independent wealth managers, $100M to $500M (5,683) · 0.0% percentile
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • HNW RAUM · $175M to $180M
        Apr 1, 2025 to Apr 2, 2026
      • Non-discretionary RAUM · $175M to $180M
        Apr 1, 2025 to Apr 2, 2026
      • RAUM · $175M to $180M
        Apr 1, 2025 to Apr 2, 2026
      • Accounts · 47 to 40
        Mar 25, 2024 to Apr 1, 2025
      • HNW clients · 47 to 40
        Mar 25, 2024 to Apr 1, 2025
      Full history · 57 changes
      • Financial planning clients · 26-50 to 26-50
        Mar 25, 2024 to Apr 1, 2025
      • HQ city · unset to
        Mar 25, 2024 to Apr 1, 2025
      • HQ state · unset to
        Mar 25, 2024 to Apr 1, 2025
      • HNW RAUM · $180M to $175M
        Mar 25, 2024 to Apr 1, 2025
      • Non-discretionary RAUM · $180M to $175M
        Mar 25, 2024 to Apr 1, 2025
      • RAUM · $180M to $175M
        Mar 25, 2024 to Apr 1, 2025
      • Accounts · 50 to 47
        Mar 30, 2023 to Mar 25, 2024
      • HNW clients · 50 to 47
        Mar 30, 2023 to Mar 25, 2024
      • Accounts · 58 to 50
        Mar 28, 2022 to Mar 30, 2023
      • HNW clients · 58 to 50
        Mar 28, 2022 to Mar 30, 2023
      • Financial planning clients · 51-100 to 26-50
        Mar 28, 2022 to Mar 30, 2023
      • HNW RAUM · $200M to $180M
        Mar 28, 2022 to Mar 30, 2023
      • Non-discretionary RAUM · $200M to $180M
        Mar 28, 2022 to Mar 30, 2023
      • RAUM · $200M to $180M
        Mar 28, 2022 to Mar 30, 2023
      • Accounts · 62 to 58
        Mar 30, 2021 to Mar 28, 2022
      • HNW clients · 62 to 58
        Mar 30, 2021 to Mar 28, 2022
      • HNW RAUM · $185M to $200M
        Mar 30, 2021 to Mar 28, 2022
      • Non-discretionary RAUM · $185M to $200M
        Mar 30, 2021 to Mar 28, 2022
      • RAUM · $185M to $200M
        Mar 30, 2021 to Mar 28, 2022
      • Accounts · 375 to 62
        Jun 27, 2020 to Mar 30, 2021
      • HNW clients · 69 to 62
        Jun 27, 2020 to Mar 30, 2021
      • HNW RAUM · $190M to $185M
        Jun 27, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $190M to $185M
        Jun 27, 2020 to Mar 30, 2021
      • RAUM · $190M to $185M
        Jun 27, 2020 to Mar 30, 2021
      • HNW RAUM · $175M to $190M
        Mar 27, 2019 to Apr 1, 2020
      • Non-discretionary RAUM · $175M to $190M
        Mar 27, 2019 to Apr 1, 2020
      • RAUM · $175M to $190M
        Mar 27, 2019 to Apr 1, 2020
      • Accounts · 395 to 375
        Mar 27, 2019 to Apr 1, 2020
      • HNW clients · 71 to 69
        Mar 27, 2019 to Apr 1, 2020
      • Employees · 2 to 3
        Mar 27, 2019 to Apr 1, 2020
      • Accounts · 75 to 395
        Mar 23, 2018 to Mar 27, 2019
      • HNW clients · 75 to 71
        Mar 23, 2018 to Mar 27, 2019
      • Accounts · 85 to 75
        Mar 29, 2017 to Mar 23, 2018
      • HNW clients · unset to 75.0
        Mar 29, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 175000000.0
        Mar 29, 2017 to Mar 23, 2018
      • Non-discretionary RAUM · $165M to $175M
        Mar 29, 2017 to Mar 23, 2018
      • RAUM · $165M to $175M
        Mar 29, 2017 to Mar 23, 2018
      • Accounts · 425 to 85
        Mar 15, 2016 to Mar 29, 2017
      • Non-discretionary RAUM · $160M to $165M
        Mar 15, 2016 to Mar 29, 2017
      • RAUM · $160M to $165M
        Mar 15, 2016 to Mar 29, 2017
      • Accounts · 356 to 425
        Mar 25, 2014 to Mar 30, 2015
      • Non-discretionary RAUM · $150M to $160M
        Mar 25, 2014 to Mar 30, 2015
      • RAUM · $150M to $160M
        Mar 25, 2014 to Mar 30, 2015
      • Accounts · 422 to 356
        Oct 10, 2013 to Mar 25, 2014
      • Non-discretionary RAUM · $130M to $150M
        Oct 10, 2013 to Mar 25, 2014
      • RAUM · $130M to $150M
        Oct 10, 2013 to Mar 25, 2014
      • Accounts · 450 to 422
        Mar 15, 2012 to Mar 7, 2013
      • Advisory employees · unset to 1.0
        Mar 15, 2012 to Mar 7, 2013
      • Employees · unset to 2.0
        Mar 15, 2012 to Mar 7, 2013
      • Non-discretionary RAUM · $125M to $130M
        Mar 15, 2012 to Mar 7, 2013
      • RAUM · $125M to $130M
        Mar 15, 2012 to Mar 7, 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
      ••• Lockedreportedpublic record, Form ADV, Apr 2, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.