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••• R••• F•••••••• S•••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Apr 16, 2025 · 3 filings
SEC status approved since May 13, 2025
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.9M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$136M as of Mar 2, 2026
Apr 16, 2025$111M then
HNW client RAUM$134M as of Mar 2, 2026
Apr 16, 2025$37.0M then
State-registered IARs (5.B.3)2 as of Mar 2, 2026
Apr 16, 20252 then
Employees (5.A)4 as of Mar 2, 2026
Apr 16, 20253 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 2, 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
- $67.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $714,639derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$134M98%
- Individuals$2.1M1.5%
- Individual clients
- 5reported
- HNW clients
- 34reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 190reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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 |
|---|---|---|---|---|
| S•••••••• J••••• L••Certified Financial Planner | Burlingame, Ca | Nov 20, 2008 | 18 y | 0 |
| R•••••• C•••••Certified Financial Planner | Santa Cruz, Ca | Dec 6, 2013 | 25 y | 1 |
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
- R•••••• C••••• from C••••••••• A••••••• I••Dec 6, 2013 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• S••••••••• J••••• · Managing Member, Chief Compliance Officercontrolsince 09/2008 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 2, 2026HNW share of RAUM moved from 33.0% to 98.0% between the annual amendments of 2025-04-16 and 2026-03-02peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 39 to 190Nov 18, 2025 to Mar 2, 2026
- Advisory activities · 4 to 2Nov 18, 2025 to Mar 2, 2026
- HNW clients · 3 to 34Nov 18, 2025 to Mar 2, 2026
- Individual clients · 36 to 5Nov 18, 2025 to Mar 2, 2026
- Employees · 3 to 4Nov 18, 2025 to Mar 2, 2026
- Discretionary RAUM · $111M to $136MNov 18, 2025 to Mar 2, 2026
- HNW RAUM · $37.0M to $134MNov 18, 2025 to Mar 2, 2026
- Individual RAUM · $74.4M to $2.1MNov 18, 2025 to Mar 2, 2026
- RAUM · $111M to $136MNov 18, 2025 to Mar 2, 2026
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
- Business email
- i•••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E•••R•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-779-2008reportedpublic record, Form ADV, Mar 2, 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
- $67.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026