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•• A•••• M••••••••• I•••••••••
Latest filing Mar 23, 2026
First filing on the tape Jan 13, 2012 · 22 filings
SEC status approved since Jul 29, 2011
RAUM
$177M
reported, Item 5.F
Discretionary
43%
of RAUM
Private clients
99%
$175M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$177M as of Mar 23, 2026
Feb 7, 2012$115M then
HNW client RAUM$112M as of Mar 23, 2026
Feb 16, 2018$250M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 25, 20130 then
Employees (5.A)3 as of Mar 23, 2026
Mar 25, 20133 then
Private funds: no history
RAUM +21% over the last fiscal year+3.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $997,198derivedHNW RAUM over HNW clients
- Average account
- $998,412derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 43%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, educational seminars, otherreportedItem 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
- High-net-worth individuals$112M63%
- Individuals$63.6M36%
- Insurance companies$1.4M0.8%
- Individual clients
- 63reported
- HNW clients
- 112reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 177reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• E•••• N••••• · Chief Investment Officercontrolsince 07/1992 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 192 to 177Mar 17, 2025 to Mar 23, 2026
- HNW clients · 98 to 112Mar 17, 2025 to Mar 23, 2026
- Individual clients · 93 to 63Mar 17, 2025 to Mar 23, 2026
- Discretionary RAUM · $68.4M to $75.9MMar 17, 2025 to Mar 23, 2026
- HNW RAUM · $79.3M to $112MMar 17, 2025 to Mar 23, 2026
- Individual RAUM · $65.5M to $63.6MMar 17, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $77.0M to $101MMar 17, 2025 to Mar 23, 2026
- RAUM · $145M to $177MMar 17, 2025 to Mar 23, 2026
- Accounts · 218 to 192Feb 22, 2024 to Mar 17, 2025
- HNW clients · 110 to 98Feb 22, 2024 to Mar 17, 2025
- Individual clients · 107 to 93Feb 22, 2024 to Mar 17, 2025
- Financial planning clients · 0 to 0Feb 22, 2024 to Mar 17, 2025
- HQ state · unset to Feb 22, 2024 to Mar 17, 2025
- Discretionary RAUM · $73.0M to $68.4MFeb 22, 2024 to Mar 17, 2025
- HNW RAUM · $81.9M to $79.3MFeb 22, 2024 to Mar 17, 2025
- Individual RAUM · $67.5M to $65.5MFeb 22, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $78.3M to $77.0MFeb 22, 2024 to Mar 17, 2025
- RAUM · $151M to $145MFeb 22, 2024 to Mar 17, 2025
- Accounts · 232 to 218Mar 17, 2023 to Feb 22, 2024
- HNW clients · 122 to 110Mar 17, 2023 to Feb 22, 2024
- Individual clients · 109 to 107Mar 17, 2023 to Feb 22, 2024
- Discretionary RAUM · $80.6M to $73.0MMar 17, 2023 to Feb 22, 2024
- HNW RAUM · $83.3M to $81.9MMar 17, 2023 to Feb 22, 2024
- Individual RAUM · $73.9M to $67.5MMar 17, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $80.4M to $78.3MMar 17, 2023 to Feb 22, 2024
- RAUM · $161M to $151MMar 17, 2023 to Feb 22, 2024
- Accounts · 252 to 232Mar 9, 2022 to Mar 17, 2023
- HNW clients · 134 to 122Mar 9, 2022 to Mar 17, 2023
- Individual clients · 117 to 109Mar 9, 2022 to Mar 17, 2023
- Discretionary RAUM · $92.5M to $80.6MMar 9, 2022 to Mar 17, 2023
- HNW RAUM · $98.7M to $83.3MMar 9, 2022 to Mar 17, 2023
- Individual RAUM · $87.5M to $73.9MMar 9, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $99.0M to $80.4MMar 9, 2022 to Mar 17, 2023
- RAUM · $192M to $161MMar 9, 2022 to Mar 17, 2023
- Accounts · 278 to 252Apr 14, 2021 to Mar 9, 2022
- HNW clients · 140 to 134Apr 14, 2021 to Mar 9, 2022
- Individual clients · 124 to 117Apr 14, 2021 to Mar 9, 2022
- Discretionary RAUM · $90.1M to $92.5MApr 14, 2021 to Mar 9, 2022
- HNW RAUM · $141M to $98.7MApr 14, 2021 to Mar 9, 2022
- Individual RAUM · $45.9M to $87.5MApr 14, 2021 to Mar 9, 2022
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 phone
- 514-989-0009reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 514-989-7060reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 514-989-8027reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 514-989-8027reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026