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• M••••• O•••••••• • C•• I•••
Latest filing Mar 31, 2026
First filing on the tape Apr 27, 2012 · 33 filings
SEC status approved since Aug 30, 1978
RAUM
$9.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$9.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$9.5M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$9.5M as of Mar 31, 2026
Apr 27, 2012$43.5M then
HNW client RAUM$9.1M as of Mar 31, 2026
Feb 21, 2018$49.0M then
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Jan 31, 20131 then
Employees (5.A)1 as of Mar 31, 2026
Jan 31, 20133 then
Private funds1 as of Mar 28, 2025
Mar 20, 20201 then
RAUM -86% over the last fiscal year-45% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $9.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -86%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -72%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$9.1M95%
- Individuals$455,1614.8%
- Individual clients
- 7reported
- HNW clients
- 4reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true 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 |
|---|---|---|---|---|
| S•••• A••••••Chartered Financial Analyst | New York, Ny | Jan 12, 2023 | 21 y | 0 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• S••••••• R••••• L• F••• | Other Private Fund | $23.3M | 57 | Aug 1, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• S•••• · Managing Directorcontrolsince 11/2019 · owns less than 5%
- M•••••• J•••••••• E••••• · Ceocontrolsince 01/2023 · owns 75% or more
- N•••••••• B••••• W•••••• · Ccosince 10/2023 · owns less than 5%
Entity owners
- P••••••• E••••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• A••••••• S•••••••• I•••investment advisernRAUM $271M
- P••••••• C•••••• M••••••• L••broker-dealern
- P••••••• S••••••••• I•••broker-dealern
Advisers that list E• M••••• O•••••••• • C•• I••• as a related person
- 160275 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026advises private funds (Item 7.B): yes on the filing of 2025-03-28, no on the filing of 2026-03-31peers: independent wealth managers, under $100M (704)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $70,376,580 to $9,510,538 (-86.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +8.0% (219 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, under $100M (219) · 3.7% percentile
What changed
consecutive filings, newest first
- Accounts · 89 to 7Mar 28, 2025 to Mar 31, 2026
- HNW clients · 27 to 4Mar 28, 2025 to Mar 31, 2026
- Individual clients · 12 to 7Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 1.0 to unsetMar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 49.0 to unsetMar 28, 2025 to Mar 31, 2026
- Employees · 2 to 1Mar 28, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 0Mar 28, 2025 to Mar 31, 2026
- Private funds · 1 to unsetMar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $70.4M to $9.5MMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $38.0M to $9.1MMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $1.6M to $455,161Mar 28, 2025 to Mar 31, 2026
- Pension RAUM · 865868.0 to unsetMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · 29881326.0 to unsetMar 28, 2025 to Mar 31, 2026
- RAUM · $70.4M to $9.5MMar 28, 2025 to Mar 31, 2026
- Accounts · 92 to 89Mar 29, 2024 to Mar 28, 2025
- BD registered reps · 1 to 0Mar 29, 2024 to Mar 28, 2025
- HNW clients · 24 to 27Mar 29, 2024 to Mar 28, 2025
- Individual clients · 19 to 12Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $63.9M to $70.4MMar 29, 2024 to Mar 28, 2025
- HNW RAUM · $35.6M to $38.0MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · $1.6M to $1.6MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · $715,518 to $865,868Mar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $25.9M to $29.9MMar 29, 2024 to Mar 28, 2025
- RAUM · $63.9M to $70.4MMar 29, 2024 to Mar 28, 2025
- Related insurance company · false to trueMar 29, 2024 to Mar 28, 2025
- Accounts · 95 to 92Oct 17, 2023 to Mar 29, 2024
- Individual clients · 13 to 19Oct 17, 2023 to Mar 29, 2024
- Pooled vehicle clients · 57 to 49Oct 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $56.4M to $63.9MOct 17, 2023 to Mar 29, 2024
- HNW RAUM · $30.1M to $35.6MOct 17, 2023 to Mar 29, 2024
- Individual RAUM · $2.3M to $1.6MOct 17, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $23.3M to $25.9MOct 17, 2023 to Mar 29, 2024
- RAUM · $56.4M to $63.9MOct 17, 2023 to Mar 29, 2024
- Accounts · 100 to 95Dec 6, 2022 to Feb 15, 2023
- HNW clients · 28 to 24Dec 6, 2022 to Feb 15, 2023
- Individual clients · unset to 13.0Dec 6, 2022 to Feb 15, 2023
- Pooled vehicle clients · 51 to 57Dec 6, 2022 to Feb 15, 2023
- Commission compensation · true to falseDec 6, 2022 to Feb 15, 2023
- Discretionary RAUM · $85.0M to $56.4MDec 6, 2022 to Feb 15, 2023
Signals
8 dated events
- Ashley Jessica Lankes (Coo) no longer on Schedule A of E• M••••• O•••••••• • C•• I••• (listed 2023-10-17, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- E••••• J••••••• M••••• (Ceo And Cco) appeared on Schedule A of E• M••••• O•••••••• • C•• I•••Feb 15, 2023 · Control person joined · fact
- Ashley Jessica Lankes (Coo) appeared on Schedule A of E• M••••• O•••••••• • C•• I•••Feb 15, 2023 · Control person joined · fact
- Michael Leonard Callahan (Interim Cco) no longer on Schedule A of E• M••••• O•••••••• • C•• I••• (listed 2022-12-06, absent 2023-02-15)Feb 15, 2023 · Control person left · inference
- Jay Joshua Oppenheim (Trustee) no longer on Schedule A of E• M••••• O•••••••• • C•• I••• (listed 2022-12-06, absent 2023-02-15)Feb 15, 2023 · Control person left · inference
- S•••• A•••••• (Managing Director) appeared on Schedule A of E• M••••• O•••••••• • C•• I•••Mar 20, 2020 · Control person joined · fact
- E Magnus Oppenheim (President/Chief Compliance Officer/Chief Executive Officer) no longer on Schedule A of E• M••••• O•••••••• • C•• I••• (listed 2019-03-11, absent 2019-08-01)Aug 1, 2019 · Control person left · inference
- Michael Leonard Callahan (Interim Cco``) appeared on Schedule A of E• M••••• O•••••••• • C•• I•••Aug 1, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- E• M••••• O•••••••• • C•• I••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 212-983-1818reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-983-1818reportedpublic record, Form ADV, Mar 31, 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
- $9.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026