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
E•••••••• C•••••• M••••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 22, 2011 · 27 filings
SEC status approved since Oct 22, 2003
RAUM
$933M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$754M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$933M
derived; firm RAUM over IAPD count
Employees
10
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$933M as of Mar 27, 2026
Mar 30, 2012$2.1B then
HNW client RAUM$600M as of Mar 27, 2026
Mar 26, 2018$204M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20130 then
Employees (5.A)10 as of Mar 27, 2026
Mar 28, 201325 then
Private funds: no history
RAUM +6.9% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $933MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 697derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 10%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $120M, 75 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$600M64%
- Individuals$154M17%
- Corporations and businesses$84.4M9.0%
- Charitable organizations$69.1M7.4%
- State and municipal entities$13.3M1.4%
- Pension and profit-sharing plans$12.2M1.3%
- Individual clients
- 548reported
- HNW clients
- 149reported
- Pension plan clients
- 18reported
- Charitable clients
- 34reported
- Accounts
- 767reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $0 sponsored, $160M managedreported
- Custody of client assets
- $120M for 75 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• C••••• P•••• | New York, Ny | Oct 23, 2008 | 40 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••••• C••••• P•••• from E•••••••• C•••••• M•••••••••Oct 23, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••• C••••••• T••••• · Chairman And Chief Investment Officercontrolsince 06/2003 · owns 25% to 50%
- F••••• D••••• P•••••• · Chief Operating Officercontrolsince 06/2003 · owns 25% to 50%
- F••••• I•• C••••••• T••••• · Membercontrolsince 06/2003 · owns 10% to 25%
- W••••• S••••• N••• · Chief Compliance Officercontrolsince 03/2016 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Ponte Vedra Beach, FL2 employees
What changed
consecutive filings, newest first
- Employees · 11 to 10Mar 27, 2025 to Mar 27, 2026
- Accounts · 771 to 767Mar 27, 2025 to Mar 27, 2026
- Charity clients · 35 to 34Mar 27, 2025 to Mar 27, 2026
- Corporate clients · 20 to 17Mar 27, 2025 to Mar 27, 2026
- HNW clients · 146 to 149Mar 27, 2025 to Mar 27, 2026
- Individual clients · 549 to 548Mar 27, 2025 to Mar 27, 2026
- Pension plan clients · 20 to 18Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $114M to $120MMar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $873M to $933MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $546M to $600MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $155M to $154MMar 27, 2025 to Mar 27, 2026
- Pension RAUM · $13.5M to $12.2MMar 27, 2025 to Mar 27, 2026
- RAUM · $873M to $933MMar 27, 2025 to Mar 27, 2026
- Wrap assets (manager) · $153M to $160MMar 27, 2025 to Mar 27, 2026
- Accounts · 794 to 771Mar 27, 2024 to Mar 27, 2025
- Charity clients · 36 to 35Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 24 to 20Mar 27, 2024 to Mar 27, 2025
- HNW clients · 152 to 146Mar 27, 2024 to Mar 27, 2025
- Individual clients · 561 to 549Mar 27, 2024 to Mar 27, 2025
- Assets in custody · $92.0M to $114MMar 27, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $864M to $873MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $530M to $546MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $160M to $155MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $13.0M to $13.5MMar 27, 2024 to Mar 27, 2025
- RAUM · $864M to $873MMar 27, 2024 to Mar 27, 2025
- Wrap assets (manager) · $158M to $153MMar 27, 2024 to Mar 27, 2025
- Accounts · 828 to 794Mar 30, 2023 to Mar 27, 2024
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 27, 2024
- Charity clients · 37 to 36Mar 30, 2023 to Mar 27, 2024
- HNW clients · 138 to 152Mar 30, 2023 to Mar 27, 2024
- Individual clients · 609 to 561Mar 30, 2023 to Mar 27, 2024
- Pension plan clients · 19 to 20Mar 30, 2023 to Mar 27, 2024
- Assets in custody · $69.3M to $92.0MMar 30, 2023 to Mar 27, 2024
- Employees · 12 to 11Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $761M to $864MMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $446M to $530MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $164M to $160MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $11.2M to $13.0MMar 30, 2023 to Mar 27, 2024
- RAUM · $761M to $864MMar 30, 2023 to Mar 27, 2024
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.
How to reach
public business contact points only, each with its source
- Business email
- kfogarty@estabrookcap.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- wbaird@estabrookcap.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-605-5595reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-605-5562reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••••••CAP.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-605-5500reportedpublic record, Form ADV, Mar 27, 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
- $933Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026