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•••• F•••••••• S•••••••• I•••

Former SEC-registered adviserCRD 125668SEC 801-79227IAPD
Latest filing Mar 27, 2023
First filing on the tape Feb 13, 2014 · 15 filings
RAUM
$34.1M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
97%
$33.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$34.1M as of Mar 27, 2023
Mar 18, 2015$36.1M then
HNW client RAUM$31.1M as of Mar 27, 2023
Mar 16, 2018$33.2M then
State-registered IARs (5.B.3)1 as of Mar 27, 2023
Mar 18, 20151 then
Employees (5.A)1 as of Mar 27, 2023
Mar 18, 20151 then
Private funds: no history
RAUM -20% over the last fiscal year-0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2023; every figure names its basis
RAUM per advisor
$34.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.5MderivedHNW RAUM over HNW clients
Average account
$775,408derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
2.8%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
-20%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 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)
  • 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$31.1M91%
  • Individuals$2.0M6.0%
  • Pension and profit-sharing plans$968,0702.8%
Individual clients
n/areported
HNW clients
9reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
11-25reported
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
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
      • E••••• A•••••• J••••• · President And Chief Compliance Officercontrol
        since 01/1999 · 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 · 37 to 44
        Mar 21, 2022 to Mar 27, 2023
      • HNW clients · 10 to 9
        Mar 21, 2022 to Mar 27, 2023
      • HNW RAUM · $40.2M to $31.1M
        Mar 21, 2022 to Mar 27, 2023
      • Individual RAUM · $1.1M to $2.0M
        Mar 21, 2022 to Mar 27, 2023
      • Non-discretionary RAUM · $42.5M to $34.1M
        Mar 21, 2022 to Mar 27, 2023
      • Pension RAUM · $1.2M to $968,070
        Mar 21, 2022 to Mar 27, 2023
      • RAUM · $42.5M to $34.1M
        Mar 21, 2022 to Mar 27, 2023
      • Accounts · 55 to 37
        Nov 16, 2021 to Mar 21, 2022
      • HNW clients · unset to 10.0
        Nov 16, 2021 to Mar 21, 2022
      • Individual clients · 14.0 to unset
        Nov 16, 2021 to Mar 21, 2022
      • HNW RAUM · $18.5M to $40.2M
        Nov 16, 2021 to Mar 21, 2022
      • Individual RAUM · $20.1M to $1.1M
        Nov 16, 2021 to Mar 21, 2022
      • Non-discretionary RAUM · $42.7M to $42.5M
        Nov 16, 2021 to Mar 21, 2022
      • Pension RAUM · $4.0M to $1.2M
        Nov 16, 2021 to Mar 21, 2022
      • RAUM · $42.7M to $42.5M
        Nov 16, 2021 to Mar 21, 2022
      • Accounts · 52 to 55
        Jun 29, 2020 to Mar 29, 2021
      • Individual clients · 15 to 14
        Jun 29, 2020 to Mar 29, 2021
      • HNW RAUM · $14.5M to $18.5M
        Jun 29, 2020 to Mar 29, 2021
      • Individual RAUM · $15.1M to $20.1M
        Jun 29, 2020 to Mar 29, 2021
      • Non-discretionary RAUM · $34.1M to $42.7M
        Jun 29, 2020 to Mar 29, 2021
      • Pension RAUM · $4.5M to $4.0M
        Jun 29, 2020 to Mar 29, 2021
      • RAUM · $34.1M to $42.7M
        Jun 29, 2020 to Mar 29, 2021
      • Accounts · 48 to 52
        May 1, 2019 to Mar 11, 2020
      • HNW clients · 8.0 to unset
        May 1, 2019 to Mar 11, 2020
      • Individual clients · 8 to 15
        May 1, 2019 to Mar 11, 2020
      • Other offices · 1 to 0
        May 1, 2019 to Mar 11, 2020
      • HNW RAUM · $28.9M to $14.5M
        May 1, 2019 to Mar 11, 2020
      • Individual RAUM · $2.0M to $15.1M
        May 1, 2019 to Mar 11, 2020
      • Non-discretionary RAUM · $34.3M to $34.1M
        May 1, 2019 to Mar 11, 2020
      • Pension RAUM · $3.4M to $4.5M
        May 1, 2019 to Mar 11, 2020
      • RAUM · $34.3M to $34.1M
        May 1, 2019 to Mar 11, 2020
      • Accounts · 47 to 48
        Mar 16, 2018 to Mar 26, 2019
      • HNW clients · 9 to 8
        Mar 16, 2018 to Mar 26, 2019
      • Individual clients · 7 to 8
        Mar 16, 2018 to Mar 26, 2019
      • HNW RAUM · $33.2M to $28.9M
        Mar 16, 2018 to Mar 26, 2019
      • Individual RAUM · $1.8M to $2.0M
        Mar 16, 2018 to Mar 26, 2019
      • Non-discretionary RAUM · $37.8M to $34.3M
        Mar 16, 2018 to Mar 26, 2019
      • Pension RAUM · $2.8M to $3.4M
        Mar 16, 2018 to Mar 26, 2019
      • RAUM · $37.8M to $34.3M
        Mar 16, 2018 to Mar 26, 2019
      • Accounts · 45 to 47
        Mar 20, 2017 to Mar 16, 2018
      Signals
      1 dated events
      • E•••• F•••••••• S•••••••• I••• filed its initial SEC registration (Form ADV)
        Feb 13, 2014 · 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.
      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