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

Eton Advisors, LP

Former SEC-registered adviserChapel Hill, North CarolinaCRD 147745SEC 801-70291IAPD
Latest filing Mar 31, 2017
First filing on the tape Nov 11, 2011 · 15 filings
RAUM
$1.5B
reported, Item 5.F
Discretionary
67%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$224M gross assets
History
15 filings and snapshots on the tape
RAUM$1.5B as of Mar 31, 2017
Mar 27, 2012$826M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 27, 20120 then
Employees (5.A)13 as of Mar 31, 2017
Mar 26, 201313 then
Private funds5 as of Mar 31, 2017
Mar 26, 20132 then
RAUM +9.1% over the last fiscal year+10% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; every figure names its basis
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
unknownderivedHNW RAUM over HNW clients
Average account
$10.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
67%derivedof RAUM
Institutional
0.0%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
+9.1%derivedbetween 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, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisers, publications, otherreportedItem 5.G
Custody
$812M, 122 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.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
135reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$812M for 122 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Teresa Eriksson · Presidentcontrol
      since 05/2009 · owns 50% to 75%
    • Edward Robert Mallernee · Ceo, Ccocontrol
      since 05/2009 · owns 50% to 75%
    • Jackson William Parham · Chief Investment Officercontrol
      since 05/2009 · owns 25% to 50%
    • Arthur Joel Pineles · Limited Partnercontrol
      since 12/2009 · owns 5% to 10%
    • Ray David Vines · Limited Partnercontrol
      since 01/2015 · owns 5% to 10%
    • Edward Robert Mallernee · Ceocontrol
      since 04/2009 · owns 50% to 75% of Eton Holdings, Inc.
    • Jackson William Parham · Ciocontrol
      since 04/2009 · owns 50% to 75% of Eton Holdings, Inc.
    • Finch Brad Dalton · Limited Partner
      since 06/2009 · owns less than 5%
    Entity owners
    • Eton Holdings, Inc. · General Partner
      direct · owns less than 5%
    Related persons
    Schedule D 7.A
    • Farrington Funds Gp LLC
      pooled vehicle sponsory
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 141 to 135
      Aug 5, 2016 to Mar 31, 2017
    • Assets in custody · $1.3B to $812M
      Aug 5, 2016 to Mar 31, 2017
    • Employees · 12 to 13
      Aug 5, 2016 to Mar 31, 2017
    • Financial planning clients · 101-250 to 0
      Aug 5, 2016 to Mar 31, 2017
    • Discretionary RAUM · $1.2B to $977M
      Aug 5, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $521M to $478M
      Aug 5, 2016 to Mar 31, 2017
    • RAUM · $1.7B to $1.5B
      Aug 5, 2016 to Mar 31, 2017
    • Accounts · 140 to 141
      Mar 30, 2016 to Aug 5, 2016
    • Advisory employees · 3 to 4
      Mar 30, 2016 to Aug 5, 2016
    • Assets in custody · $1.3B to $1.3B
      Mar 30, 2016 to Aug 5, 2016
    • Employees · 19 to 12
      Mar 30, 2016 to Aug 5, 2016
    • Discretionary RAUM · $1.2B to $1.2B
      Mar 30, 2016 to Aug 5, 2016
    • Non-discretionary RAUM · $129M to $521M
      Mar 30, 2016 to Aug 5, 2016
    • RAUM · $1.3B to $1.7B
      Mar 30, 2016 to Aug 5, 2016
    • Accounts · 144 to 140
      Mar 31, 2015 to Mar 30, 2016
    • Assets in custody · $1.2B to $1.3B
      Mar 31, 2015 to Mar 30, 2016
    • Employees · 16 to 19
      Mar 31, 2015 to Mar 30, 2016
    • Discretionary RAUM · $1.1B to $1.2B
      Mar 31, 2015 to Mar 30, 2016
    • Non-discretionary RAUM · $457M to $129M
      Mar 31, 2015 to Mar 30, 2016
    • RAUM · $1.5B to $1.3B
      Mar 31, 2015 to Mar 30, 2016
    • Accounts · 122 to 144
      Nov 6, 2014 to Mar 31, 2015
    • Advisory employees · 4 to 3
      Nov 6, 2014 to Mar 31, 2015
    • Assets in custody · $1.1B to $1.2B
      Nov 6, 2014 to Mar 31, 2015
    • Employees · 13 to 16
      Nov 6, 2014 to Mar 31, 2015
    • Discretionary RAUM · $940M to $1.1B
      Nov 6, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $142M to $457M
      Nov 6, 2014 to Mar 31, 2015
    • RAUM · $1.1B to $1.5B
      Nov 6, 2014 to Mar 31, 2015
    • Accounts · 337 to 122
      Mar 26, 2013 to Mar 28, 2014
    • Assets in custody · $961M to $1.1B
      Mar 26, 2013 to Mar 28, 2014
    • Financial planning clients · 51-100 to 101-250
      Mar 26, 2013 to Mar 28, 2014
    • Private funds · 2 to 5
      Mar 26, 2013 to Mar 28, 2014
    • Discretionary RAUM · $795M to $940M
      Mar 26, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $167M to $142M
      Mar 26, 2013 to Mar 28, 2014
    • RAUM · $961M to $1.1B
      Mar 26, 2013 to Mar 28, 2014
    • Accounts · 316 to 337
      Jan 3, 2013 to Mar 26, 2013
    • Assets in custody · $826M to $961M
      Jan 3, 2013 to Mar 26, 2013
    • Employees · 11 to 13
      Jan 3, 2013 to Mar 26, 2013
    • Private funds · unset to 2
      Jan 3, 2013 to Mar 26, 2013
    • Discretionary RAUM · $626M to $795M
      Jan 3, 2013 to Mar 26, 2013
    • Non-discretionary RAUM · $201M to $167M
      Jan 3, 2013 to Mar 26, 2013
    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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026