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••••• P••••••• O• N•• E••••••• L••

Former SEC-registered adviserCRD 133353SEC 801-64743IAPD
Latest filing Jun 28, 2012
First filing on the tape Mar 1, 2012 · 4 filings
RAUM
$53.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$26.5M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$53.0M as of Jun 28, 2012
Mar 1, 2012$53.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 28, 2012
Mar 1, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 28, 2012; every figure names its basis
RAUM per advisor
$26.5MderivedRAUM 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
$117,778derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • 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
450reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
E••• J••••• F••••Portsmouth, NhMay 21, 201523 y4
G•••• A••• M••••Portsmouth, NhJul 28, 202335 y5
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 headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L•••••••• G••••••• W•••••• · Chief Compliance Officer/Managing Partnercontrol
    since 07/2001 · owns 75% or more
  • Z•••• A•••••• M•••• · Office Supervisor
    since 02/2005 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Portsmouth, Nh200
Estero, Fl000
Offices
Schedule D 1.F, the 25 largest
  • ,
What changed
consecutive filings, newest first
  • Related broker-dealer · true to false
    Mar 14, 2012 to May 1, 2012
Signals
3 dated events
  • G•••••• W•••••• L••••••• left E••••• P••••••• O• N•• E••••••• L•• for O•••••• P•••• A•••• M••••••••• L•• (registered 2023-12-19)
    Oct 26, 2023 · Advisor changed firm · fact
  • R•••••• S•••• P•••• left E••••• P••••••• O• N•• E••••••• L•• for O•••••• P•••• A•••• M••••••••• L•• (registered 2023-04-24)
    Sep 7, 2023 · Advisor changed firm · fact
  • J•••••• D•••• S•••••• left E••••• P••••••• O• N•• E••••••• L•• for O•••••• P•••• A•••• M••••••••• L•• (registered 2023-04-24)
    May 17, 2023 · Advisor changed firm · fact
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
Website
EPNE.NETreportedpublic record, Form ADV, Sep 18, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$26.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026