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••••• A•••• M••••••••• G••••• L••

Former SEC-registered adviserAlbany, New YorkCRD 121512SEC 801-66539IAPD
Legal name E••••• A•••• M••••••••• G••••• L•••
Latest filing Dec 4, 2015
First filing on the tape Mar 13, 2012 · 20 filings
RAUM
$108M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$108M as of Mar 25, 2015
Mar 13, 2012$104M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2015
Mar 13, 20120 then
Employees (5.A)6 as of Mar 25, 2015
Jan 15, 20137 then
Private funds: no history
RAUM +5.0% over the last fiscal year+1.4% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Dec 4, 2015; every figure names its basis
RAUM per advisor
$108MderivedRAUM 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
$211,701derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
7.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+5.0%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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
510reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• B••••••• R•••••• · Managing Member/Chief Compliance Officercontrol
        since 07/2002 · owns 50% to 75%
      • P••••• P•••• S•••• · Membercontrol
        since 01/2005 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • ,
      What changed
      consecutive filings, newest first
      • BD registered reps · 5 to 7
        Jul 21, 2015 to Dec 1, 2015
      • Employees · 6 to 7
        Jul 21, 2015 to Dec 1, 2015
      • State-registered IARs · 0 to 1
        Jul 21, 2015 to Dec 1, 2015
      • Accounts · 474 to 510
        Oct 23, 2014 to Mar 25, 2015
      • Advisory employees · 5 to 4
        Oct 23, 2014 to Mar 25, 2015
      • Advisory activities · 3 to 4
        Oct 23, 2014 to Mar 25, 2015
      • BD registered reps · 6 to 5
        Oct 23, 2014 to Mar 25, 2015
      • Employees · 7 to 6
        Oct 23, 2014 to Mar 25, 2015
      • Discretionary RAUM · $103M to $108M
        Oct 23, 2014 to Mar 25, 2015
      • RAUM · $103M to $108M
        Oct 23, 2014 to Mar 25, 2015
      • BD registered reps · 4 to 6
        Oct 1, 2014 to Oct 23, 2014
      • Accounts · 463 to 474
        Oct 7, 2013 to Mar 21, 2014
      • Advisory activities · 4 to 3
        Oct 7, 2013 to Mar 21, 2014
      • Discretionary RAUM · $100M to $103M
        Oct 7, 2013 to Mar 21, 2014
      • RAUM · $100M to $103M
        Oct 7, 2013 to Mar 21, 2014
      • BD registered reps · 3 to 4
        May 13, 2013 to Aug 27, 2013
      • Accounts · 514 to 463
        Jan 3, 2013 to Jan 15, 2013
      • Advisory activities · 5 to 4
        Jan 3, 2013 to Jan 15, 2013
      • BD registered reps · 4 to 3
        Jan 3, 2013 to Jan 15, 2013
      • Employees · 9 to 7
        Jan 3, 2013 to Jan 15, 2013
      • State-registered IARs · 4 to 0
        Jan 3, 2013 to Jan 15, 2013
      • Discretionary RAUM · $104M to $100M
        Jan 3, 2013 to Jan 15, 2013
      • RAUM · $104M to $100M
        Jan 3, 2013 to Jan 15, 2013
      • Related broker-dealer · true to false
        Jan 3, 2013 to Jan 15, 2013
      • Advisory employees · unset to 5.0
        Mar 13, 2012 to Nov 6, 2012
      • BD registered reps · unset to 4.0
        Mar 13, 2012 to Nov 6, 2012
      • Employees · unset to 9.0
        Mar 13, 2012 to Nov 6, 2012
      • State-registered IARs · 0 to 4
        Mar 13, 2012 to Nov 6, 2012
      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.
      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