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 Sep 26, 2025
First filing on the tape Feb 27, 2012 · 19 filings
SEC status approved since Mar 3, 2005
RAUM
$803M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$747M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$161M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$803M as of Sep 26, 2025
Sep 12, 2012$131M then
HNW client RAUM$724M as of Sep 26, 2025
Sep 27, 2018$149M then
State-registered IARs (5.B.3)4 as of Sep 26, 2025
Sep 12, 20120 then
Employees (5.A)4 as of Sep 26, 2025
Sep 24, 20133 then
Private funds: no history
RAUM +49% over the last fiscal year+18% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 26, 2025; every figure names its basis
- RAUM per advisor
- $161MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- has custody of client securities (9.A.1.b)
- 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$724M90%
- Charitable organizations$54.3M6.8%
- Individuals$23.9M3.0%
- Corporations and businesses$1.6M0.2%
- Individual clients
- 42reported
- HNW clients
- 263reported
- Pension plan clients
- 0reported
- Charitable clients
- 7reported
- Accounts
- 313reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $803M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• W••••• D•••••• | Boston, Ma | Mar 3, 2005 | 32 y | 1 |
| D•••• W••••• D•••••• | Boston, Ma | Mar 16, 2005 | 36 y | 1 |
| T••••• E••••• P••••• | Boston, Ma | Nov 3, 2009 | 35 y | 0 |
| K•••••••• R••• K••••••• | Boston, Ma | Apr 18, 2016 | 25 y | 1 |
| S••• B• W••••Certified Financial Planner | Boston, Ma | Jan 2, 2025 | 16 y | 3 |
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
- D•••• W••••• D•••••• from R•• C•••••• M••••••• L••Mar 16, 2005 · Other
- D•••• W••••• D•••••• from R•• C•••••• M••••••• L••Mar 3, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• D••••• W••••• · Membercontrolsince 01/2005 · owns 75% or more
- K•••••••• K••••••••• R••• · Chief Compliance Officercontrolsince 08/2018 · owns less than 5%
Related persons
Schedule D 7.A
- M•••• • C••••• I••broker-dealerinvestment adviserreal estatenRAUM $3.4B
Advisers that list E•••••••• C•••••• M••••••••• L•• as a related person
- 594 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 290 to 313Sep 27, 2024 to Sep 26, 2025
- Advisory employees · 3 to 4Sep 27, 2024 to Sep 26, 2025
- BD registered reps · 3 to 4Sep 27, 2024 to Sep 26, 2025
- Corporate clients · 2 to 1Sep 27, 2024 to Sep 26, 2025
- HNW clients · 215 to 263Sep 27, 2024 to Sep 26, 2025
- Individual clients · 66 to 42Sep 27, 2024 to Sep 26, 2025
- Assets in custody · $5.0M to $9.5MSep 27, 2024 to Sep 26, 2025
- Employees · 3 to 4Sep 27, 2024 to Sep 26, 2025
- Insurance-licensed employees · 3 to 4Sep 27, 2024 to Sep 26, 2025
- Financial planning clients · 0 to 0Sep 27, 2024 to Sep 26, 2025
- State-registered IARs · 3 to 4Sep 27, 2024 to Sep 26, 2025
- Discretionary RAUM · $666M to $803MSep 27, 2024 to Sep 26, 2025
- HNW RAUM · $598M to $724MSep 27, 2024 to Sep 26, 2025
- Individual RAUM · $27.0M to $23.9MSep 27, 2024 to Sep 26, 2025
- RAUM · $666M to $803MSep 27, 2024 to Sep 26, 2025
- Wrap assets (manager) · $666M to $803MSep 27, 2024 to Sep 26, 2025
- Accounts · 269 to 290Sep 28, 2023 to Sep 27, 2024
- Charity clients · 4 to 7Sep 28, 2023 to Sep 27, 2024
- HNW clients · 38 to 215Sep 28, 2023 to Sep 27, 2024
- Individual clients · 225 to 66Sep 28, 2023 to Sep 27, 2024
- Assets in custody · $3.7M to $5.0MSep 28, 2023 to Sep 27, 2024
- Discretionary RAUM · $540M to $666MSep 28, 2023 to Sep 27, 2024
- HNW RAUM · $197M to $598MSep 28, 2023 to Sep 27, 2024
- Individual RAUM · $312M to $27.0MSep 28, 2023 to Sep 27, 2024
- RAUM · $540M to $666MSep 28, 2023 to Sep 27, 2024
- Wrap assets (manager) · $540M to $666MSep 28, 2023 to Sep 27, 2024
- Accounts · 257 to 269Sep 27, 2022 to Sep 28, 2023
- HNW clients · 36 to 38Sep 27, 2022 to Sep 28, 2023
- Individual clients · 215 to 225Sep 27, 2022 to Sep 28, 2023
- Assets in custody · $3.0M to $3.7MSep 27, 2022 to Sep 28, 2023
- Discretionary RAUM · $465M to $540MSep 27, 2022 to Sep 28, 2023
- HNW RAUM · $171M to $197MSep 27, 2022 to Sep 28, 2023
- Individual RAUM · $267M to $312MSep 27, 2022 to Sep 28, 2023
- RAUM · $465M to $540MSep 27, 2022 to Sep 28, 2023
- Wrap assets (manager) · $465M to $540MSep 27, 2022 to Sep 28, 2023
- Accounts · 245 to 257Sep 30, 2021 to Sep 27, 2022
- Advisory employees · 2 to 3Sep 30, 2021 to Sep 27, 2022
- Charity clients · 3 to 4Sep 30, 2021 to Sep 27, 2022
- Corporate clients · 3 to 2Sep 30, 2021 to Sep 27, 2022
- HNW clients · 34 to 36Sep 30, 2021 to Sep 27, 2022
Signals
1 dated events
- E•••••••• C•••••• M••••••••• L•• reported RAUM $491.1M, up 43% from $342.5M (2020-09-29 to 2021-09-30)Sep 30, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 617-314-0417reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- E••••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-314-0213reportedpublic record, Form ADV, Sep 26, 2025
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- e•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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
- $161Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026