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••••••• W••••• A•••••••
Legal name E••••••• W••••• A•••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Nov 21, 2011 · 61 filings
SEC status approved since Feb 9, 2004
RAUM
$6.0B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
85%
$5.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
116
47 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$6.0B as of Mar 26, 2026
Mar 30, 2012$648M then
HNW client RAUM$4.4B as of Mar 26, 2026
Mar 29, 2018$1.4B then
State-registered IARs (5.B.3)43 as of Mar 26, 2026
Apr 1, 20139 then
Employees (5.A)116 as of Mar 26, 2026
Apr 1, 201319 then
Private funds: no history
RAUM +13% over the last fiscal year+17% a year over threeIARs 46 to 43offices 12 to 14
Practice profile
derived from the filing of Mar 26, 2026; every figure names its basis
- RAUM per advisor
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $626,746derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 8.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.9derived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- Custody
- $2.7B, 1,944 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.4B74%
- Individuals$666M11%
- Pension and profit-sharing plans$396M6.6%
- Corporations and businesses$359M6.0%
- State and municipal entities$58.7M1.0%
- Charitable organizations$56.1M0.9%
- Individual clients
- 1,741reported
- HNW clients
- 1,345reported
- Pension plan clients
- 41reported
- Charitable clients
- 12reported
- Accounts
- 9,535reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.7B for 1,944 clientsreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days9 left over 36 months
Left, latest
- K••••••••• A•••••••• K••••••••• to M•••••• I•••••••••Apr 20, 2026 · RIA to RIA
- J•••••• L•• O• B••• to M••••••Oct 29, 2025 · RIA to affiliated broker-dealer or bank
- P•••• J•••• H••• to A••••••• S••••••• N••••••May 30, 2025 · RIA to RIA
- M••••• M•••• S•••• to Q•••••• W••••• M••••••••• L••Jun 14, 2024 · RIA to RIA
- C•••••••• D••• P•••••••• to Q•••••• W••••• M••••••••• L••Jun 14, 2024 · RIA to RIA
- J•••• D•••••• to C••• S••••• P•••••••Apr 1, 2024 · RIA to affiliated broker-dealer or bank
- P••• M•••••• R••••• to T••••••• I••••••••• M••••••••• I•••Feb 12, 2024 · RIA to affiliated broker-dealer or bank
- G••••• A•••• M••••••• to F••••• I•••••••••Jan 26, 2024 · RIA to RIA
- S•••••• F••••• B••• to S•••••• W••••• M••••••••• L••Dec 15, 2023 · RIA to RIA
- S••• K•••• to C••• S••••• P•••••••Jun 14, 2023 · RIA to affiliated broker-dealer or bank
- S••••• J•••• R••• to S••••••••• W••••• P•••••••Jun 6, 2023 · RIA to RIA
- A••••• M••••• D••••••• to A••••• A•• P••••••• S•••••••May 9, 2023 · RIA to affiliated broker-dealer or bank
- J••••••• D•••• M•••••• to B•• F•••••••• P•••••• W•••••• I•••Apr 14, 2023 · RIA to RIA
- L•••• M•••••• K•••• to C••• S••••• P•••••••Feb 10, 2023 · RIA to affiliated broker-dealer or bank
- M•••••• L• S••••••••• to F••••• I•••••••••Jun 3, 2022 · RIA to RIA
Joined, latest
- K••• A••••• F•••• from F••••••• P••••••• A•• W•••••••• A•••••••Mar 20, 2025 · Affiliated broker-dealer or bank to independent RIA
- G••••• A••• C•••••• from B••••• P••••• A•••••••• L••Dec 3, 2024 · RIA to RIA
- J•••• L•• W•••••• from A••••••• A••••••• S•••••••• L••Nov 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- D•••• W•••••• B•••••• from A••••••• A••••••• S•••••••• L••Nov 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- M•••••• C••• W••••••••• from A••••••• A••••••• S•••••••• L••Nov 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- P••• M•••••• R••••• from P•••• S••••••••• L••Apr 10, 2023 · Affiliated broker-dealer or bank to independent RIA
- P•••••• M••••• S•••• from S•••••••• F•••••••• A•••••••• L••Feb 2, 2023 · RIA to RIA
- B•••••• T••••• S•••• from S•••••••• F•••••••• A•••••••• L••Jan 18, 2023 · RIA to RIA
- B•••• A••• R••••••••• from P•••• S••••••••• L••Jun 23, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••••• D•••• M•••••• from M••••••Feb 11, 2022 · Affiliated broker-dealer or bank to independent RIA
- M•••••• L• S••••••••• from F••••••• W••••• M••••••••• L••Dec 23, 2021 · RIA to RIA
- A•••••• A••••• S•••••••• from A•••••• A••••••• S•••••••Nov 18, 2021 · Affiliated broker-dealer or bank to independent RIA
- S••••• J•••• R••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 9, 2021 · Wirehouse to independent RIA
- A••••• M••••• D••••••• from H••••••••• I•••Jul 29, 2021 · RIA to RIA
- C••••• B•••••• R•••• from K••••••Jul 9, 2021 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••• A••••••• S•••••••• L••Nov 21, 2023 · A•••••, Tx
- 2 joined from S•••••••• F•••••••• A•••••••• L••Mar 16, 2023 · Guilford, Ct
- 11 joined from W••••••••• W••••• M••••••••• L••Jul 10, 2020 · H•••Ersville, Nc · Firm absorbed
- 2 joined from N•••••• • P••• C•••Apr 27, 2016 · San Antonio, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J•••• F•••••• · Chief E•••••••• Officer And Elected Managercontrolsince 01/2018 · owns less than 5%
- C•••••••• T••••••• M•••••• · Chief Investment Officer & Membercontrolsince 01/2015 · owns less than 5%
- D••••••• C••••• J••• · Chief Operations Officer, Chief Compliance Officer, Member, & Elected Managercontrolsince 06/2022 · owns less than 5%
- M•••••• G••• · Elected Managercontrolsince 11/2022 · owns less than 5%
- N••••••• D••••• S• · Chief Financial Officer & Membercontrolsince 01/2018 · owns less than 5%
- S••••• N•••• J•••• · Elected Managercontrolsince 06/2022 · owns less than 5%
- B••••• J•••• F•••••• · Shareholdercontrolsince 11/2002 · owns 75% or more of B•••• W••••• M••••••••• I•••
- H•••••• L••• · Ownercontrolsince 11/2016 · owns 25% to 50% of F•••• U••••• B••• A•• T•••• C••••••
- M•••••• G••• · Owner & Chief E•••••••• Officercontrolsince 02/1998 · owns 50% to 75% of F•••• U••••• B••• A•• T•••• C••••••
Entity owners
- B•••• W••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
- F•••• U••••• B••• A•• T•••• C•••••• · Memberdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- A•••••• O•••••insurancey
- A•• C••••••••insurancey
- A•• S•••••insurancey
- A••• P•••insurancey
- A••••• W••••••insurancey
- B•••••• T••••• S••••insurancey
- C•••••• E••••insurancey
- C•••• M••••insurancey
- D•••••• D•••••••insurancey
- D•••• N••••••insurancey
- F•••• U••••• B••• A•• T•••• C••••••y
- J•••• E•••••••••insurancey
- K••••• J•••••insurancey
- M•••• C••••••insurancey
- M••• Y••••insurancey
- N•••• C••••••insurancey
- P••••• I••••• R•••insurancey
Advisers that list E••••••• W••••• A••••••• as a related person
- 132477 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx | 0 | 0 | 0 | ||
| Frisco, Tx | 0 | 0 | 0 | ||
| H•••Ersville, Nc | 0 | 0 | 0 | ||
| Oklahoma City, Ok · principal | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- H•••Ersville, NC10 employees
- A•••••, TX7 employees
- Plano, TX3 employees
- Guilford, CT3 employees
- Westlake Village, CA2 employees
- Cincinnati, OH2 employees
- Dallas, TX2 employees
- Old Lyme, CT1 employees
- San Antonio, TX1 employees
- Stamford, CT1 employees
- Tampa, FL1 employees
- Newtown, PA1 employees
What changed
consecutive filings, newest first
- Accounts · 9,357 to 9,535Aug 12, 2025 to Mar 26, 2026
- Advisory employees · 50 to 47Aug 12, 2025 to Mar 26, 2026
- Charity clients · 13 to 12Aug 12, 2025 to Mar 26, 2026
- Corporate clients · 32 to 43Aug 12, 2025 to Mar 26, 2026
- HNW clients · 1,254 to 1,345Aug 12, 2025 to Mar 26, 2026
- Individual clients · 1,888 to 1,741Aug 12, 2025 to Mar 26, 2026
- Pension plan clients · 28 to 41Aug 12, 2025 to Mar 26, 2026
- Assets in custody · $2.4B to $2.7BAug 12, 2025 to Mar 26, 2026
- Employees · 117 to 116Aug 12, 2025 to Mar 26, 2026
- State-registered IARs · 46 to 43Aug 12, 2025 to Mar 26, 2026
- Discretionary RAUM · $5.1B to $5.6BAug 12, 2025 to Mar 26, 2026
- HNW RAUM · $4.1B to $4.4BAug 12, 2025 to Mar 26, 2026
- Individual RAUM · $707M to $666MAug 12, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $216M to $354MAug 12, 2025 to Mar 26, 2026
- Pension RAUM · $134M to $396MAug 12, 2025 to Mar 26, 2026
- RAUM · $5.3B to $6.0BAug 12, 2025 to Mar 26, 2026
- Related insurance company · false to trueAug 12, 2025 to Mar 26, 2026
- Wrap assets (manager) · 4239727.0 to unsetAug 12, 2025 to Mar 26, 2026
- Wrap assets (sponsor) · 0.0 to unsetAug 12, 2025 to Mar 26, 2026
- Other offices · 12 to 14Mar 25, 2025 to Aug 12, 2025
- Accounts · 10,586 to 9,357Mar 28, 2024 to Mar 25, 2025
- Advisory employees · 57 to 50Mar 28, 2024 to Mar 25, 2025
- BD registered reps · 0 to 1Mar 28, 2024 to Mar 25, 2025
- Charity clients · 27 to 13Mar 28, 2024 to Mar 25, 2025
- Corporate clients · 58 to 32Mar 28, 2024 to Mar 25, 2025
- HNW clients · 1,475 to 1,254Mar 28, 2024 to Mar 25, 2025
- Individual clients · 1,959 to 1,888Mar 28, 2024 to Mar 25, 2025
- Pension plan clients · unset to 28.0Mar 28, 2024 to Mar 25, 2025
- Assets in custody · $2.3B to $2.4BMar 28, 2024 to Mar 25, 2025
- Employees · 101 to 117Mar 28, 2024 to Mar 25, 2025
- Financial planning clients · More than 500 to More than 500Mar 28, 2024 to Mar 25, 2025
- State-registered IARs · 45 to 46Mar 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $4.8B to $5.1BMar 28, 2024 to Mar 25, 2025
- HNW RAUM · $3.8B to $4.1BMar 28, 2024 to Mar 25, 2025
- Individual RAUM · $725M to $707MMar 28, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $209M to $216MMar 28, 2024 to Mar 25, 2025
- Pension RAUM · $239M to $134MMar 28, 2024 to Mar 25, 2025
- RAUM · $5.0B to $5.3BMar 28, 2024 to Mar 25, 2025
- Related insurance company · true to falseMar 28, 2024 to Mar 25, 2025
- Wrap assets (manager) · $182M to $4.2MMar 28, 2024 to Mar 25, 2025
Signals
34 dated events
- E••••••• W••••• A••••••• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $6.0B)May 1, 2026 · Left the SEC roster · derived
- K••••••••• A•••••••• K••••••••• left E••••••• W••••• A••••••• for M•••••• I••••••••• (registered 2026-04-02)Apr 20, 2026 · Advisor changed firm · fact
- J•••••• L•• O• B••• left E••••••• W••••• A••••••• for Mariner (registered 2026-01-09)Oct 29, 2025 · Advisor changed firm · fact
- P•••• J•••• H••• left E••••••• W••••• A••••••• for A••••••• S••••••• N•••••• (registered 2025-05-01)May 30, 2025 · Advisor changed firm · fact
- C•••••••• D••• P•••••••• left E••••••• W••••• A••••••• for Q•••••• W••••• M••••••••• L•• (registered 2024-05-23)Jun 14, 2024 · Advisor changed firm · fact
- M••••• M•••• S•••• left E••••••• W••••• A••••••• for Q•••••• W••••• M••••••••• L•• (registered 2024-05-14)Jun 14, 2024 · Advisor changed firm · fact
- J•••• D•••••• left E••••••• W••••• A••••••• for C••• S••••• P••••••• (registered 2024-03-22)Apr 1, 2024 · Advisor changed firm · fact
- E••••••• W••••• A••••••• reported RAUM $5.0B, up 33% from $3.8B (2024-02-02 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Harry Shad Besikof (Elected Manager) no longer on Schedule A of E••••••• W••••• A••••••• (listed 2024-02-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- P••• M•••••• R••••• left E••••••• W••••• A••••••• for T••••••• I••••••••• M••••••••• I••• (registered 2024-06-27)Feb 12, 2024 · Advisor changed firm · fact
- G••••• A•••• M••••••• left E••••••• W••••• A••••••• for F••••• I••••••••• (registered 2024-02-14)Jan 26, 2024 · Advisor changed firm · fact
- S•••••• F••••• B••• left E••••••• W••••• A••••••• for S•••••• W••••• M••••••••• L•• (registered 2024-02-29)Dec 15, 2023 · Advisor changed firm · fact
- 3 advisors left A••••••• A••••••• S•••••••• L•• (Austin, TX) for E••••••• W••••• A••••••• a day apartNov 21, 2023 · Team lift-out · derived
- S••• K•••• left E••••••• W••••• A••••••• for C••• S••••• P••••••• (registered 2025-07-15)Jun 14, 2023 · Advisor changed firm · fact
- S••••• J•••• R••• left E••••••• W••••• A••••••• for S••••••••• W••••• P••••••• (registered 2023-12-12)Jun 6, 2023 · Advisor changed firm · fact
- A••••• M••••• D••••••• left E••••••• W••••• A••••••• for A••••• A•• P••••••• S••••••• (registered 2023-05-15)May 9, 2023 · Advisor changed firm · fact
- J••••••• D•••• M•••••• left E••••••• W••••• A••••••• for B•• F•••••••• P•••••• W•••••• I••• (registered 2024-05-17)Apr 14, 2023 · Advisor changed firm · fact
- J•••• M••• D••••• (Elected Manager) no longer on Schedule A of E••••••• W••••• A••••••• (listed 2023-03-17, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- 2 advisors left S•••••••• F•••••••• A•••••••• L•• (Guilford, CT) for E••••••• W••••• A••••••• on the same dayMar 16, 2023 · Team lift-out · derived
- L•••• M•••••• K•••• left E••••••• W••••• A••••••• for C••• S••••• P••••••• (registered 2026-05-15)Feb 10, 2023 · Advisor changed firm · fact
- J•••• Marshall Welke (Chief Compliance Officer) no longer on Schedule A of E••••••• W••••• A••••••• (listed 2022-04-01, absent 2022-09-06)Sep 6, 2022 · Control person left · inference
- Jerry Neal Simon (Elected Manager) appeared on Schedule A of E••••••• W••••• A•••••••Sep 6, 2022 · Control person joined · fact
- J•••• M••• D••••• (Elected Manager) appeared on Schedule A of E••••••• W••••• A•••••••Sep 6, 2022 · Control person joined · fact
- Harry Shad Besikof (Elected Manager) appeared on Schedule A of E••••••• W••••• A•••••••Sep 6, 2022 · Control person joined · fact
- M•••••• L• S••••••••• left E••••••• W••••• A••••••• for F••••• I••••••••• (registered 2022-07-13)Jun 3, 2022 · Advisor changed firm · fact
- C••••• B•••••• R•••• left E••••••• W••••• A••••••• for F••••• I••••••••• (registered 2022-07-11)Mar 16, 2022 · Advisor changed firm · fact
- Greg Massey (Owner & Chief Executive Officer) appeared on Schedule A of E••••••• W••••• A•••••••Aug 17, 2021 · Control person joined · fact
- Lacy Harber (Owner) appeared on Schedule A of E••••••• W••••• A•••••••Aug 17, 2021 · Control person joined · fact
- E••••••• W••••• A••••••• reported 8 offices beyond its principal office, up from 3 (2020-04-29 to 2020-06-04)Jun 4, 2020 · Office count change · derived
- E••••••• W••••• A••••••• reported RAUM $3.2B, up 37% from $2.4B (2020-04-29 to 2020-06-04)Jun 4, 2020 · RAUM change · derived
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