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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

E• R•••• I••••••••• L••

Former SEC-registered adviserSeattle, WashingtonCRD 121003SEC 801-78547IAPD
Latest filing May 22, 2020
First filing on the tape Mar 29, 2012 · 39 filings
RAUM
$673M
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
100%
$673M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
61
47 advisory (5.B.1)
Offices
19
beyond the principal office
Private funds
0
reported on Schedule D
History
39 filings and snapshots on the tape
RAUM$673M as of Jan 23, 2020
Mar 29, 2012$69.6M then
HNW client RAUM$56.4M as of Jan 23, 2020
Jan 25, 2018$305M then
State-registered IARs (5.B.3)26 as of Jan 23, 2020
Mar 29, 20120 then
Employees (5.A)61 as of Jan 23, 2020
Mar 21, 201463 then
Private funds: no history
RAUM +19% over the last fiscal year+16% a year over threeIARs 27 to 26offices 20 to 19
Practice profile
derived from the filing of May 22, 2020; every figure names its basis
RAUM per advisor
$25.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
70derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.4MderivedHNW RAUM over HNW clients
Average account
$369,411derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.3derived20 offices incl. principal (1.F.5)
RAUM growth, one year
+19%derivedbetween the last two annual amendments
Advisor growth, one year
-3.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.0%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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 a broker-dealer (6.A.1)
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$617M92%
  • High-net-worth individuals$56.4M8.4%
Individual clients
1,816reported
HNW clients
6reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1,822reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• B•••• P••• · President & Fixed Income Managercontrol
      since 04/2013 · owns less than 5%
    • L••••• A•••• D•••• · Executive Vice President / Chief Financial Officercontrol
      since 11/2010 · owns less than 5%
    • R••••• E••••• K••• · Elected Manager / Ceo And Chairmancontrol
      since 01/2007 · owns less than 5%
    • S••••••••• J••••• M••••• · Chief Compliance Officercontrol
      since 10/2015 · owns less than 5%
    • R••••• E••••• K••• · Ceo, Shareholdercontrol
      since 05/2002 · owns 75% or more of E• R•••• • C••• I•••
    • B••••• G••• K•••••••• · Executive Vice President / Chief Operating Officer
      since 11/2010 · owns less than 5%
    • M••••• C•••••••• R•••• · Executive Vice President / Chief Technology Officer
      since 11/2010 · owns less than 5%
    Entity owners
    • E• R•••• • C••• I••• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Grangeville, ID3 employees
    • Menlo Park, CA2 employees
    • Kennewick, WA2 employees
    • Bend, OR2 employees
    • Henderson, NV2 employees
    • Alexandria, IN1 employees
    • Issaquah, WA1 employees
    • Matthews, NC1 employees
    • Walnut Creek, CA1 employees
    • Whitefish, MT1 employees
    • Santa Fe, NM1 employees
    • Chehalis, WA1 employees
    • Seattle, WA1 employees
    • Mountain View, CA1 employees
    • Novato, CA1 employees
    • Mercer Island, WA1 employees
    • Seal Beach, CA1 employees
    • Walla Walla, WA1 employees
    • Sidney, OH1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,804 to 1,822
      Nov 4, 2019 to Jan 23, 2020
    • Advisory employees · 46 to 47
      Nov 4, 2019 to Jan 23, 2020
    • BD registered reps · 46 to 47
      Nov 4, 2019 to Jan 23, 2020
    • Corporate clients · 17 to 0
      Nov 4, 2019 to Jan 23, 2020
    • Individual clients · 1,781 to 1,816
      Nov 4, 2019 to Jan 23, 2020
    • Discretionary RAUM · $464M to $557M
      Nov 4, 2019 to Jan 23, 2020
    • HNW RAUM · $50.1M to $56.4M
      Nov 4, 2019 to Jan 23, 2020
    • Individual RAUM · $506M to $617M
      Nov 4, 2019 to Jan 23, 2020
    • Non-discretionary RAUM · $101M to $116M
      Nov 4, 2019 to Jan 23, 2020
    • RAUM · $565M to $673M
      Nov 4, 2019 to Jan 23, 2020
    • Advisory employees · 45 to 46
      Aug 28, 2019 to Nov 4, 2019
    • BD registered reps · 45 to 46
      Aug 28, 2019 to Nov 4, 2019
    • Employees · 63 to 61
      Aug 28, 2019 to Nov 4, 2019
    • State-registered IARs · 27 to 26
      Aug 28, 2019 to Nov 4, 2019
    • Other offices · 20 to 19
      Aug 28, 2019 to Nov 4, 2019
    • Accounts · 1,555 to 1,804
      Jan 25, 2018 to Jan 23, 2019
    • Advisory employees · 46 to 45
      Jan 25, 2018 to Jan 23, 2019
    • BD registered reps · 46 to 45
      Jan 25, 2018 to Jan 23, 2019
    • Corporate clients · 16 to 17
      Jan 25, 2018 to Jan 23, 2019
    • HNW clients · 353 to 6
      Jan 25, 2018 to Jan 23, 2019
    • Individual clients · 1,186 to 1,781
      Jan 25, 2018 to Jan 23, 2019
    • Employees · 60 to 63
      Jan 25, 2018 to Jan 23, 2019
    • Financial planning clients · 0 to 1-10
      Jan 25, 2018 to Jan 23, 2019
    • State-registered IARs · 16 to 27
      Jan 25, 2018 to Jan 23, 2019
    • Other offices · 16 to 20
      Jan 25, 2018 to Jan 23, 2019
    • Discretionary RAUM · $457M to $464M
      Jan 25, 2018 to Jan 23, 2019
    • HNW RAUM · $305M to $50.1M
      Jan 25, 2018 to Jan 23, 2019
    • Individual RAUM · $240M to $506M
      Jan 25, 2018 to Jan 23, 2019
    • Non-discretionary RAUM · $95.4M to $101M
      Jan 25, 2018 to Jan 23, 2019
    • RAUM · $553M to $565M
      Jan 25, 2018 to Jan 23, 2019
    • Accounts · 960 to 1,555
      Sep 7, 2017 to Jan 25, 2018
    • Advisory employees · 36 to 46
      Sep 7, 2017 to Jan 25, 2018
    • BD registered reps · 36 to 46
      Sep 7, 2017 to Jan 25, 2018
    • Charity clients · unset to 0.0
      Sep 7, 2017 to Jan 25, 2018
    • Corporate clients · unset to 16.0
      Sep 7, 2017 to Jan 25, 2018
    • HNW clients · unset to 353.0
      Sep 7, 2017 to Jan 25, 2018
    • Individual clients · unset to 1186.0
      Sep 7, 2017 to Jan 25, 2018
    • Pension plan clients · unset to 0.0
      Sep 7, 2017 to Jan 25, 2018
    • Pooled vehicle clients · unset to 0.0
      Sep 7, 2017 to Jan 25, 2018
    • State-registered IARs · 36 to 16
      Sep 7, 2017 to Jan 25, 2018
    Signals
    4 dated events
    • E• R•••• I••••••••• L•• reported 27 state-registered advisory representatives, up from 16 (2018-01-25 to 2019-01-23)
      Jan 23, 2019 · Advisor headcount change · derived
    • E• R•••• I••••••••• L•• reported 16 state-registered advisory representatives, down from 36 (2017-09-07 to 2018-01-25)
      Jan 25, 2018 · Advisor headcount change · derived
    • E• R•••• I••••••••• L•• reported RAUM $552.6M, up 30% from $426.1M (2017-09-07 to 2018-01-25)
      Jan 25, 2018 · RAUM change · derived
    • E• R•••• I••••••••• L•• filed its initial SEC registration (Form ADV)
      Sep 3, 2013 · ria f•••• adv filing · 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