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.

Former SEC-registered adviser

Estate Planning Professionals

Former SEC-registered adviserWesterville, OhioCRD 146957SEC 801-69213IAPD
Legal name Eastwind Capital, LLC
Latest filing Jul 6, 2012
First filing on the tape Jan 20, 2012 · 4 filings
RAUM
$52.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$17.4M
derived; firm RAUM over IAPD count
Employees
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$52.3M as of Jul 6, 2012
Jan 20, 2012$129M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 6, 2012
Jan 20, 20120 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 6, 2012; every figure names its basis
RAUM per advisor
$17.4MderivedRAUM 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
$77,422derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
675reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Phillip Michael ValleyBonita Springs, Fl Jun 13, 200835 y3
Graham David GuthrieWesterville, OhApr 4, 201821 y1
David Brian LennoxWesterville, OhMay 12, 202235 y4
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Michael Shawn Arseneau · Chief Compliance Officercontrol
    since 01/2012 · owns less than 5%
  • Michael Phillip Valley · Managercontrol
    since 03/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Westerville, Oh · principal300
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,461 to 675
    May 7, 2012 to Jul 6, 2012
  • Discretionary RAUM · $58.3M to $52.3M
    May 7, 2012 to Jul 6, 2012
  • Non-discretionary RAUM · $70.6M to $0
    May 7, 2012 to Jul 6, 2012
  • RAUM · $129M to $52.3M
    May 7, 2012 to Jul 6, 2012
  • Business name · EASTWIND CAPITAL, LLC to ESTATE PLANNING PROFESSIONALS
    Jan 20, 2012 to Mar 21, 2012
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
Firm profile
LINKEDIN.COM/COMPANY/EASTWINDCAPITALWEALTHMANAGEMENT/ABOUTreportedpublic record, Form ADV, Sep 17, 2026
Website
EPP.CCreportedpublic record, Form ADV, 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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
$17.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026