DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•••• I••••••••• A•••••••
Legal name E•••• I••••••••• A•••••••• L••
Latest filing Feb 19, 2026
First filing on the tape Feb 7, 2012 · 12 filings
SEC status approved since Feb 14, 2020
RAUM
$186M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
100%
$186M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.0M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$186M as of Feb 19, 2026
Mar 13, 2012$45.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 19, 2026
Mar 13, 20120 then
Employees (5.A)2 as of Feb 19, 2026
Feb 1, 20212 then
Private funds: no history
RAUM +10% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $93.0MderivedRAUM 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
- $715,722derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$186M100%
- Individual clients
- 132reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 260reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L••• S•••••• | Downingtown, Pa | Jun 8, 2012 | 24 y | 4 |
| J•• A••• P•••••• | Downingtown, Pa | Jun 8, 2012 | 30 y | 4 |
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•••• L••• S•••••• from E•••• I••••••••• A•••••••• L••Jun 8, 2012 · Other
- J•• A••• P•••••• from E•••• I••••••••• A•••••••• L••Jun 8, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••• A••• · Managing Member/Principal And Chief Financial Officercontrolsince 10/2006 · owns 50% to 75%
- S••••••• D••••• L••• · Managing Member/Principal And Chief Compliance Officercontrolsince 10/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Downingtown, Pa · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 256 to 260Jan 31, 2025 to Feb 19, 2026
- Individual clients · 129 to 132Jan 31, 2025 to Feb 19, 2026
- Discretionary RAUM · $154M to $170MJan 31, 2025 to Feb 19, 2026
- Individual RAUM · $169M to $186MJan 31, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $15.0M to $16.4MJan 31, 2025 to Feb 19, 2026
- RAUM · $169M to $186MJan 31, 2025 to Feb 19, 2026
- Accounts · 254 to 256Jan 11, 2024 to Jan 31, 2025
- Financial planning clients · unset to Jan 11, 2024 to Jan 31, 2025
- Discretionary RAUM · $138M to $154MJan 11, 2024 to Jan 31, 2025
- Individual RAUM · $151M to $169MJan 11, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $12.6M to $15.0MJan 11, 2024 to Jan 31, 2025
- RAUM · $151M to $169MJan 11, 2024 to Jan 31, 2025
- Accounts · 225 to 254Sep 11, 2023 to Jan 11, 2024
- Individual clients · 134 to 129Sep 11, 2023 to Jan 11, 2024
- Discretionary RAUM · $121M to $138MSep 11, 2023 to Jan 11, 2024
- Individual RAUM · $131M to $151MSep 11, 2023 to Jan 11, 2024
- Non-discretionary RAUM · $10.2M to $12.6MSep 11, 2023 to Jan 11, 2024
- RAUM · $131M to $151MSep 11, 2023 to Jan 11, 2024
- Individual clients · 225 to 134Jan 24, 2022 to Jan 11, 2023
- Discretionary RAUM · $136M to $121MJan 24, 2022 to Jan 11, 2023
- Individual RAUM · $147M to $131MJan 24, 2022 to Jan 11, 2023
- Non-discretionary RAUM · $11.7M to $10.2MJan 24, 2022 to Jan 11, 2023
- RAUM · $147M to $131MJan 24, 2022 to Jan 11, 2023
- Accounts · 222 to 225Feb 1, 2021 to Jan 24, 2022
- Individual clients · 222 to 225Feb 1, 2021 to Jan 24, 2022
- Discretionary RAUM · $115M to $136MFeb 1, 2021 to Jan 24, 2022
- Individual RAUM · $124M to $147MFeb 1, 2021 to Jan 24, 2022
- Non-discretionary RAUM · $9.1M to $11.7MFeb 1, 2021 to Jan 24, 2022
- RAUM · $124M to $147MFeb 1, 2021 to Jan 24, 2022
- Accounts · 220 to 222Jun 17, 2020 to Feb 1, 2021
- Individual clients · 220 to 222Jun 17, 2020 to Feb 1, 2021
- Discretionary RAUM · $102M to $115MJun 17, 2020 to Feb 1, 2021
- Individual RAUM · $109M to $124MJun 17, 2020 to Feb 1, 2021
- Non-discretionary RAUM · $7.4M to $9.1MJun 17, 2020 to Feb 1, 2021
- RAUM · $109M to $124MJun 17, 2020 to Feb 1, 2021
- Accounts · 144 to 220May 29, 2012 to Jan 14, 2020
- Advisory employees · unset to 2.0May 29, 2012 to Jan 14, 2020
- Advisory activities · 3 to 2May 29, 2012 to Jan 14, 2020
- Individual clients · unset to 220.0May 29, 2012 to Jan 14, 2020
- Assets in custody · 1914588.0 to unsetMay 29, 2012 to Jan 14, 2020
Signals
1 dated events
- E•••• I••••••••• A••••••• filed its initial SEC registration (Form ADV)Jan 14, 2020 · First SEC registration · 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
- Business phone
- 610-269-0269reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••IA.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 610-269-0269reportedpublic record, Form ADV, Feb 19, 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
- $93.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026