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•••••• C••••••••• L••
Latest filing Mar 17, 2025
First filing on the tape Mar 27, 2013 · 23 filings
SEC status approved since Apr 12, 2013
RAUM
$633M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
62%
$394M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$633M as of Mar 17, 2025
Mar 20, 2014$216M then
HNW client RAUM$318M as of Mar 17, 2025
Mar 26, 2018$157M then
State-registered IARs (5.B.3)3 as of Mar 17, 2025
Mar 20, 20142 then
Employees (5.A)5 as of Mar 17, 2025
Mar 20, 20145 then
Private funds: no history
RAUM +15% over the last fiscal year+5.5% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2025; every figure names its basis
- RAUM per advisor
- $211MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $363,234derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 73%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.2%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $386M, 385 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$318M50%
- Pension and profit-sharing plans$224M35%
- Individuals$75.2M12%
- Corporations and businesses$8.3M1.3%
- Charitable organizations$6.9M1.1%
- Individual clients
- 275reported
- HNW clients
- 96reported
- Pension plan clients
- 84reported
- Charitable clients
- 3reported
- Accounts
- 1,743reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $386M for 385 clientsreported
- Compensation
- % of AUMreported
- 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
- A•••• P•••••••• L••••••• to S••••• F••••••••• L••May 7, 2025 · RIA to affiliated broker-dealer or bank
- N•••••••• L••• G••••• to S••••• F••••••••• L••May 7, 2025 · RIA to affiliated broker-dealer or bank
- A•••••••• S••••• P••••••• to S••••• F••••••••• L••May 7, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for S••••• F••••••••• L••May 7, 2025 · Syracuse, Ny · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••••• A••••• P•••••••• · Member, Secretary, Chief Compliance Officercontrolsince 01/2015 · owns 10% to 25%
- P•••••••• A••••••••• S••••• · Managing Membercontrolsince 07/1997 · owns 50% to 75%
- G•••••• N••••••••• L••• · Membersince 04/2016 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Syracuse, Ny · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,787 to 1,743Jan 31, 2025 to Mar 17, 2025
- Individual clients · 250 to 275Jan 31, 2025 to Mar 17, 2025
- Pension plan clients · 82 to 84Jan 31, 2025 to Mar 17, 2025
- Assets in custody · $384M to $386MJan 31, 2025 to Mar 17, 2025
- Employees · 6 to 5Jan 31, 2025 to Mar 17, 2025
- Insurance-licensed employees · 0 to 3Jan 31, 2025 to Mar 17, 2025
- Discretionary RAUM · $384M to $463MJan 31, 2025 to Mar 17, 2025
- HNW RAUM · $291M to $318MJan 31, 2025 to Mar 17, 2025
- Individual RAUM · $55.6M to $75.2MJan 31, 2025 to Mar 17, 2025
- Non-discretionary RAUM · $166M to $171MJan 31, 2025 to Mar 17, 2025
- Pension RAUM · $188M to $224MJan 31, 2025 to Mar 17, 2025
- RAUM · $550M to $633MJan 31, 2025 to Mar 17, 2025
- Accounts · 1,628 to 1,787Mar 26, 2023 to Mar 27, 2024
- Charity clients · 4 to 3Mar 26, 2023 to Mar 27, 2024
- Corporate clients · 13 to 19Mar 26, 2023 to Mar 27, 2024
- HNW clients · 94 to 96Mar 26, 2023 to Mar 27, 2024
- Individual clients · 230 to 250Mar 26, 2023 to Mar 27, 2024
- Pension plan clients · 85 to 82Mar 26, 2023 to Mar 27, 2024
- Assets in custody · $307M to $384MMar 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $315M to $384MMar 26, 2023 to Mar 27, 2024
- HNW RAUM · $233M to $291MMar 26, 2023 to Mar 27, 2024
- Individual RAUM · $35.9M to $55.6MMar 26, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $131M to $166MMar 26, 2023 to Mar 27, 2024
- Pension RAUM · $165M to $188MMar 26, 2023 to Mar 27, 2024
- RAUM · $446M to $550MMar 26, 2023 to Mar 27, 2024
- Accounts · 1,597 to 1,628Mar 29, 2022 to Mar 26, 2023
- Corporate clients · 11 to 13Mar 29, 2022 to Mar 26, 2023
- HNW clients · 81 to 94Mar 29, 2022 to Mar 26, 2023
- Individual clients · 215 to 230Mar 29, 2022 to Mar 26, 2023
- Pension plan clients · 81 to 85Mar 29, 2022 to Mar 26, 2023
- Assets in custody · $375M to $307MMar 29, 2022 to Mar 26, 2023
- Discretionary RAUM · $371M to $315MMar 29, 2022 to Mar 26, 2023
- HNW RAUM · $269M to $233MMar 29, 2022 to Mar 26, 2023
- Individual RAUM · $55.3M to $35.9MMar 29, 2022 to Mar 26, 2023
- Non-discretionary RAUM · $168M to $131MMar 29, 2022 to Mar 26, 2023
- Pension RAUM · $199M to $165MMar 29, 2022 to Mar 26, 2023
- RAUM · $539M to $446MMar 29, 2022 to Mar 26, 2023
- Accounts · 1,310 to 1,597Sep 3, 2021 to Mar 29, 2022
- Corporate clients · 9 to 11Sep 3, 2021 to Mar 29, 2022
- HNW clients · 75 to 81Sep 3, 2021 to Mar 29, 2022
Signals
6 dated events
- E•••••• C••••••••• L•• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $633.1M)Jun 2, 2025 · Left the SEC roster · derived
- E•••••• C••••••••• L••'s advisors moved to S••••• F••••••••• L•• (Syracuse, NY): 3 of 3 registered, on the same dayMay 7, 2025 · Firm absorbed (people side) · derived
- N•••••••• L••• G••••• left E•••••• C••••••••• L•• for S••••• F••••••••• L•• (registered 2025-03-06)May 7, 2025 · Advisor changed firm · fact
- A•••••••• S••••• P••••••• left E•••••• C••••••••• L•• for S••••• F••••••••• L•• (registered 2025-03-06)May 7, 2025 · Advisor changed firm · fact
- A•••• P•••••••• L••••••• left E•••••• C••••••••• L•• for S••••• F••••••••• L•• (registered 2025-03-06)May 7, 2025 · Advisor changed firm · fact
- E•••••• C••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2013 · 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