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
N• O•••• P•••••• B••••••• N•••
Legal name E••••••• F•••••••• A•••••••• L••
Latest filing Jan 14, 2026
First filing on the tape Mar 10, 2016 · 17 filings
SEC status approved since Mar 21, 2016
RAUM
$30.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$22.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$30.1M as of Jan 14, 2026
Jan 23, 2017$45.2M then
HNW client RAUM$13.2M as of Jan 14, 2026
Jan 8, 2018$12.2M then
State-registered IARs (5.B.3)0 as of Jan 14, 2026
Jan 23, 20170 then
Employees (5.A)0 as of Jan 14, 2026
Jan 23, 20170 then
Private funds: no history
RAUM +11% over the last fiscal year+0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 14, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $320,213derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 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
- -5.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$13.2M44%
- Individuals$9.2M31%
- Pension and profit-sharing plans$7.7M26%
- Individual clients
- 87reported
- HNW clients
- 4reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 94reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.74 fund_share=0.0 institutional_share=0.26 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••• J•••• · Cco, Managing Membercontrolsince 06/2001 · 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
- Accounts · 102 to 94Jan 21, 2025 to Jan 14, 2026
- HNW clients · 5 to 4Jan 21, 2025 to Jan 14, 2026
- Individual clients · 91 to 87Jan 21, 2025 to Jan 14, 2026
- Pension plan clients · 5 to 3Jan 21, 2025 to Jan 14, 2026
- Discretionary RAUM · $27.0M to $30.1MJan 21, 2025 to Jan 14, 2026
- HNW RAUM · $10.0M to $13.2MJan 21, 2025 to Jan 14, 2026
- Individual RAUM · $10.5M to $9.2MJan 21, 2025 to Jan 14, 2026
- Pension RAUM · $6.5M to $7.7MJan 21, 2025 to Jan 14, 2026
- RAUM · $27.0M to $30.1MJan 21, 2025 to Jan 14, 2026
- Accounts · 107 to 102Feb 28, 2024 to Jan 21, 2025
- Corporate clients · 3.0 to unsetFeb 28, 2024 to Jan 21, 2025
- HNW clients · 7 to 5Feb 28, 2024 to Jan 21, 2025
- Individual clients · 110 to 91Feb 28, 2024 to Jan 21, 2025
- Pension plan clients · 4 to 5Feb 28, 2024 to Jan 21, 2025
- Financial planning clients · 51-100 to 51-100Feb 28, 2024 to Jan 21, 2025
- HQ city · unset to Feb 28, 2024 to Jan 21, 2025
- HQ state · unset to Feb 28, 2024 to Jan 21, 2025
- Discretionary RAUM · $27.6M to $27.0MFeb 28, 2024 to Jan 21, 2025
- HNW RAUM · $10.5M to $10.0MFeb 28, 2024 to Jan 21, 2025
- Individual RAUM · $7.3M to $10.5MFeb 28, 2024 to Jan 21, 2025
- Pension RAUM · $9.5M to $6.5MFeb 28, 2024 to Jan 21, 2025
- RAUM · $27.6M to $27.0MFeb 28, 2024 to Jan 21, 2025
- Accounts · 121 to 107Jun 23, 2023 to Feb 28, 2024
- Discretionary RAUM · $29.5M to $27.6MJun 23, 2023 to Feb 28, 2024
- HNW RAUM · $12.4M to $10.5MJun 23, 2023 to Feb 28, 2024
- Individual RAUM · $9.4M to $7.3MJun 23, 2023 to Feb 28, 2024
- Pension RAUM · $7.1M to $9.5MJun 23, 2023 to Feb 28, 2024
- RAUM · $29.5M to $27.6MJun 23, 2023 to Feb 28, 2024
- Accounts · 163 to 121Jan 28, 2022 to Mar 6, 2023
- HNW clients · 11 to 7Jan 28, 2022 to Mar 6, 2023
- Individual clients · 124 to 110Jan 28, 2022 to Mar 6, 2023
- Pension plan clients · 28 to 4Jan 28, 2022 to Mar 6, 2023
- Discretionary RAUM · $38.7M to $29.5MJan 28, 2022 to Mar 6, 2023
- HNW RAUM · $14.7M to $12.4MJan 28, 2022 to Mar 6, 2023
- Individual RAUM · $10.3M to $9.4MJan 28, 2022 to Mar 6, 2023
- Pension RAUM · $13.0M to $7.1MJan 28, 2022 to Mar 6, 2023
- RAUM · $38.7M to $29.5MJan 28, 2022 to Mar 6, 2023
- Accounts · 263 to 163Jun 16, 2021 to Jan 28, 2022
- Corporate clients · unset to 3.0Jun 16, 2021 to Jan 28, 2022
- Individual clients · 149 to 124Jun 16, 2021 to Jan 28, 2022
Signals
2 dated events
- Davis Robert Hall (Member) no longer on Schedule A of N• O•••• P•••••• B••••••• N••• (listed 2023-03-06, absent 2023-06-23)Jun 23, 2023 · Control person left · inference
- E••••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Mar 10, 2016 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 315-967-9418reportedpublic record, Form ADV, Jan 14, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026