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••••• F•••••••• M••••••••• C••••••• L••
Latest filing Sep 14, 2026
First filing on the tape Nov 16, 2015 · 33 filings
SEC status approved since Nov 19, 2015
RAUM
$706M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$680M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$78.4M
derived; firm RAUM over IAPD count
Employees
12
10 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$706M as of May 29, 2026
Mar 28, 2016$39.0M then
HNW client RAUM$649M as of May 29, 2026
Feb 5, 2018$250M then
State-registered IARs (5.B.3)10 as of May 29, 2026
Mar 28, 20164 then
Employees (5.A)12 as of May 29, 2026
Mar 28, 20164 then
Private funds: no history
RAUM +36% over the last fiscal year+21% a year over threeIARs 10 to 10
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
- RAUM per advisor
- $78.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 109derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $885,402derivedHNW RAUM over HNW clients
- Average account
- $718,210derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 9.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -9.9%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 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$649M92%
- Individuals$31.0M4.4%
- Other investment advisers$26.0M3.7%
- Individual clients
- 249reported
- HNW clients
- 733reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 983reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.96 fund_share=0.04 institutional_share=0.0 related_bd=true related_bank=false bd_reps=12.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• V• M••••• | Holmdel, Nj | Oct 17, 2016 | 32 y | 2 |
| G•••• L•••• Z•••• | Holmdel, Nj | Oct 17, 2016 | 31 y | 3 |
| C••••••••• G••••• H•••••••Certified Financial Planner, Chartered Financial Analyst | Holmdel, Nj | Feb 24, 2021 | 27 y | 2 |
| C••••••••• V••••• | Holmdel, Nj | Mar 29, 2021 | 12 y | 0 |
| E••••• M••••• S••••• | Holmdel, Nj | Mar 29, 2021 | 39 y | 0 |
| C••• J••• B••••• | Holmdel, Nj | Mar 29, 2021 | 33 y | 0 |
| D••••• R•••••• | Holmdel, Nj | Mar 29, 2021 | 14 y | 0 |
| J•••• A• M•••••• | Holmdel, Nj | Mar 29, 2021 | 25 y | 0 |
| R••••• J••• C••••••••• | Holmdel, Nj | Aug 23, 2021 | 13 y | 2 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount2 left over 36 months
Left, latest
- S•••••• A• B•••••• to W•••• F•••• A•••••••Jun 4, 2026 · RIA to wirehouse
- C••• P••• S••••• to I••••••••• F••••• O••••• L••May 3, 2024 · RIA to a newly registered adviser
- E••• T••••• to C••••• P••••••• O••• L••Aug 30, 2022 · RIA to RIA
- R••••• N••••• to W•••• F•••• A•••••••Dec 7, 2015 · Other
Joined, latest
- S•••••• A• B•••••• from C••••• S••••• S••••••••• •••• L••Feb 16, 2026 · Other
- E••• T••••• from E••••• J••••May 21, 2021 · Affiliated broker-dealer or bank to independent RIA
- C••••••••• G••••• H••••••• from R• F• L••••••• • C••• I•••Feb 28, 2019 · RIA to RIA
- A•••••• V• M••••• from M••••• S••••••Oct 17, 2016 · Other
- G•••• L•••• Z•••• from B• R•••• W••••• A•••••••• I•••Jul 9, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• L•••••• M•••• · Chief Operating Officercontrolsince 01/2020 · owns less than 5%
- Z••••• G••••• L•••• · Managing Member/Chief Compliance Officercontrolsince 12/2007 · owns less than 5%
- Z••••• G••••• L•••• · Shareholdercontrolsince 03/2003 · owns 50% to 75% of E••••• A•••• M••••••••• O• N•
- M•••••• A••••••• V• · Chief Investment Officersince 01/2018 · owns less than 5%
Entity owners
- E••••• I••••••••• G•••• H••••••• L•• · Ownerdirect · owns 75% or more
- E••••• A•••• M••••••••• O• N• · Sole Member/Managerindirect · owns 75% or more of E••••• I••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- E••••• A•••• M••••••••• C••••••broker-dealern
- E••••• A•••• M•••••••• I•••••••• A•••••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Holmdel, Nj · principal | 9 | 0 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Sep 14, 2026advises private funds (Item 7.B): no on the filing of 2026-05-29, yes on the filing of 2026-09-14peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25May 29, 2026 to Sep 14, 2026
- Succession · false to unsetMay 29, 2026 to Sep 14, 2026
- HQ city · NEW YORK to HOLMDELMar 19, 2026 to May 29, 2026
- HQ state · NY to NJMar 19, 2026 to May 29, 2026
- Related adviser · false to trueMar 19, 2026 to May 29, 2026
- Accounts · 1,040 to 983Sep 25, 2025 to Feb 26, 2026
- HNW clients · 203 to 733Sep 25, 2025 to Feb 26, 2026
- Individual clients · 608 to 249Sep 25, 2025 to Feb 26, 2026
- Discretionary RAUM · $660M to $675MSep 25, 2025 to Feb 26, 2026
- HNW RAUM · $525M to $649MSep 25, 2025 to Feb 26, 2026
- Individual RAUM · $143M to $31.0MSep 25, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $28.0M to $31.0MSep 25, 2025 to Feb 26, 2026
- RAUM · $688M to $706MSep 25, 2025 to Feb 26, 2026
- Accounts · 1,091 to 1,040Mar 24, 2025 to Sep 25, 2025
- HNW clients · 861 to 203Mar 24, 2025 to Sep 25, 2025
- Individual clients · 229 to 608Mar 24, 2025 to Sep 25, 2025
- Discretionary RAUM · $492M to $660MMar 24, 2025 to Sep 25, 2025
- HNW RAUM · $472M to $525MMar 24, 2025 to Sep 25, 2025
- Individual RAUM · $28.0M to $143MMar 24, 2025 to Sep 25, 2025
- RAUM · $520M to $688MMar 24, 2025 to Sep 25, 2025
- Accounts · 1,090 to 1,091Apr 2, 2024 to Mar 24, 2025
- Financial planning clients · 11-25 to 11-25Apr 2, 2024 to Mar 24, 2025
- Discretionary RAUM · $461M to $492MApr 2, 2024 to Mar 24, 2025
- HNW RAUM · $461M to $472MApr 2, 2024 to Mar 24, 2025
- Individual RAUM · $23.8M to $28.0MApr 2, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $23.8M to $28.0MApr 2, 2024 to Mar 24, 2025
- RAUM · $485M to $520MApr 2, 2024 to Mar 24, 2025
- Accounts · 1,023 to 1,090Mar 28, 2023 to Apr 2, 2024
- HNW clients · 700 to 861Mar 28, 2023 to Apr 2, 2024
- Individual clients · 323 to 229Mar 28, 2023 to Apr 2, 2024
- Discretionary RAUM · $390M to $461MMar 28, 2023 to Apr 2, 2024
- HNW RAUM · $380M to $461MMar 28, 2023 to Apr 2, 2024
- Individual RAUM · $23.0M to $23.8MMar 28, 2023 to Apr 2, 2024
- Non-discretionary RAUM · $13.0M to $23.8MMar 28, 2023 to Apr 2, 2024
- RAUM · $403M to $485MMar 28, 2023 to Apr 2, 2024
- Financial planning clients · 26-50 to 11-25Mar 9, 2022 to Mar 28, 2023
- State-registered IARs · 2 to 10Mar 9, 2022 to Mar 28, 2023
- Discretionary RAUM · $362M to $390MMar 9, 2022 to Mar 28, 2023
- Individual RAUM · $30.0M to $23.0MMar 9, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $48.0M to $13.0MMar 9, 2022 to Mar 28, 2023
Signals
6 dated events
- S•••••• A• B•••••• left E••••• F•••••••• M••••••••• C••••••• L•• for W•••• F•••• A••••••• (registered 2026-07-07)Jun 4, 2026 · Advisor changed firm · fact
- E••••• F•••••••• M••••••••• C••••••• L•• reported RAUM $688.4M, up 32% from $519.6M (2025-03-24 to 2025-09-25)Sep 25, 2025 · RAUM change · derived
- C••• P••• S••••• left E••••• F•••••••• M••••••••• C••••••• L•• for I••••••••• F••••• O••••• L•• (registered 2024-06-14)May 3, 2024 · Advisor changed firm · fact
- E••• T••••• left E••••• F•••••••• M••••••••• C••••••• L•• for C••••• P••••••• O••• L•• (registered 2022-08-15)Aug 30, 2022 · Advisor changed firm · fact
- Marie Lauren Banjany (Chief Operating Officer) appeared on Schedule A of E••••• F•••••••• M••••••••• C••••••• L••Mar 30, 2020 · Control person joined · fact
- E••••• F•••••••• M••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 16, 2015 · 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 email
- info@empiream.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-417-7777reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 888-417-8050reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-417-8247reportedpublic record, Form ADV, Sep 14, 2026
- Contact form
- empiream.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $78.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026