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•••••• S••••••• A•••••• M••••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Dec 21, 2011 · 28 filings
SEC status approved since Aug 27, 2009
RAUM
$21.3M
reported, Item 5.F
Discretionary
100%
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
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$21.3M as of Mar 30, 2026
Dec 21, 2011$1.8M then
HNW client RAUM$2.8M as of Mar 31, 2023
Dec 22, 2017$5.6M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Dec 21, 20110 then
Employees (5.A)5 as of Mar 30, 2026
Jan 3, 20135 then
Private funds1 as of Mar 30, 2026
Mar 27, 20201 then
RAUM -5.3% over the last fiscal year-3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; 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
- $21.3MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.3%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$21.3M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••• F•••••••• S••••••• P•••••• E••••• F••• 1• | Private Equity Fund | $16.3M | 15 | Jun 21, 2019 |
Owners and control persons
Schedule A and B, latest filing
- M••••• D•••••• W•••••• · Managing Directorcontrolsince 07/2009 · owns less than 5%
- V••••• D••••• A••• · Presidentcontrolsince 12/2022 · owns less than 5%
- B••••••• C••••••• A••••• · Member/Managercontrolsince 06/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
- H•••••• J•••• T••••• · Member/Managercontrolsince 01/2018 · owns 50% to 75% of 1••• C•••••• G•••• H•••••••• L••
- M••••••• C••••••••• · Membercontrolsince 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
- M••••• D•••••• W•••••• · Trusteecontrolsince 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
- R•••• S••••• L•••••• · Trusteecontrolsince 02/2024 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
- W•••• P•••• W•••••• · Trusteecontrolsince 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
- W•••••• M••••••• A••••• R••• · Membercontrolsince 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
- M•••••• J••••• A••••• · Chief Compliance Officersince 06/2009 · owns less than 5%
Entity owners
- E•••••• A•••• M••••••••• P•• L•• · Parent Companydirect · owns 75% or more
- 1••• C•••••• G•••• H•••••••• L•• · Shareholderindirect · owns F of 1••• C•••••• G••••• I•••
- 1••• C•••••• G••••• I••• · Managing Memberindirect · owns 75% or more of 1••• F•••••••• C••••••• L••
- 1••• F•••••••• C••••••• L•• · Memberindirect · owns 75% or more of D••••••••• M••••••• G•••• P••••• L••
- D••••••••• M••••••• G•••• P••••• L•• · Memberindirect · owns 75% or more of F•• M••••••• G••••• L••
- E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T•••• · Shareholderindirect · owns 75% or more of E•••••• A•••• M••••••••• I•••
- E•••••• A•••• M••••••••• I••• · Memberindirect · owns 25% to 50% of E•••••• A•••• M••••••••• P•• L••
- F•• M••••••• G••••• L•• · Memberindirect · owns 50% to 75% of E•••••• A•••• M••••••••• P•• L••
Related persons
Schedule D 7.A
- C••••••••• R••••••• P•••••••• L••investment advisernRAUM $822M
- E•••••• A•••••••• L••investment advisernRAUM $3.3B
- E•••••• F•••••••• S••••••• P•••••• E••••• P•••••••• L••pooled vehicle sponsorn
- E•••••• M••••• F••• A••••••• T••••investment advisernRAUM $2.1B
- E•••••• A•••••••• L••investment advisernRAUM $29.3M
- F•• I••••••••• L••investment advisernRAUM $18B
- Z•••••• C•••••• M••••••••• L••investment advisernRAUM $11B
Advisers that list E•••••• S••••••• A•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $22.5M to $21.3MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $22.5M to $21.3MMar 28, 2025 to Mar 30, 2026
- RAUM · $22.5M to $21.3MMar 28, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $16.3M to $22.5MMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $16.3M to $22.5MMar 29, 2024 to Mar 28, 2025
- RAUM · $16.3M to $22.5MMar 29, 2024 to Mar 28, 2025
- Related broker-dealer · true to falseMar 29, 2024 to Mar 28, 2025
- Accounts · 5 to 1Dec 20, 2023 to Mar 29, 2024
- Assets in custody · 5000000.0 to unsetDec 20, 2023 to Mar 29, 2024
- Custody of client assets · true to falseDec 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $23.7M to $16.3MDec 20, 2023 to Mar 29, 2024
- HNW RAUM · 2812344.0 to unsetDec 20, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $20.9M to $16.3MDec 20, 2023 to Mar 29, 2024
- RAUM · $23.7M to $16.3MDec 20, 2023 to Mar 29, 2024
- Related broker-dealer · false to trueApr 14, 2023 to Dec 20, 2023
- Accounts · 10 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $29.3M to $23.7MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $9.0M to $2.8MMar 31, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $19.7M to $20.9MMar 31, 2022 to Mar 31, 2023
- RAUM · $29.3M to $23.7MMar 31, 2022 to Mar 31, 2023
- Accounts · 9 to 10Dec 3, 2021 to Mar 31, 2022
- Assets in custody · unset to 5000000.0Dec 3, 2021 to Mar 31, 2022
- Custody of client assets · false to trueDec 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $25.4M to $29.3MDec 3, 2021 to Mar 31, 2022
- HNW RAUM · $7.9M to $9.0MDec 3, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $17.0M to $19.7MDec 3, 2021 to Mar 31, 2022
- RAUM · $25.4M to $29.3MDec 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $15.2M to $25.4MMar 30, 2021 to Dec 3, 2021
- HNW RAUM · $8.7M to $7.9MMar 30, 2021 to Dec 3, 2021
- Pooled vehicle RAUM · $6.1M to $17.0MMar 30, 2021 to Dec 3, 2021
- RAUM · $15.2M to $25.4MMar 30, 2021 to Dec 3, 2021
- Accounts · 10 to 9Sep 4, 2020 to Mar 30, 2021
- Discretionary RAUM · $15.8M to $15.2MSep 4, 2020 to Mar 30, 2021
- HNW RAUM · $7.3M to $8.7MSep 4, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $8.5M to $6.1MSep 4, 2020 to Mar 30, 2021
- RAUM · $15.8M to $15.2MSep 4, 2020 to Mar 30, 2021
- Accounts · 11 to 10Mar 27, 2020 to Jun 30, 2020
- Discretionary RAUM · $15.9M to $15.8MMar 27, 2020 to Jun 30, 2020
- HNW RAUM · $7.4M to $7.3MMar 27, 2020 to Jun 30, 2020
Signals
3 dated events
- Lambert Scott Rehr (Trustee) appeared on Schedule A of E•••••• S••••••• A•••••• M••••••••• L••Mar 29, 2024 · Control person joined · fact
- Edward Joseph Besecker (Trustee) no longer on Schedule A of E•••••• S••••••• A•••••• M••••••••• L•• (listed 2023-12-20, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Alan David Volpe (President) appeared on Schedule A of E•••••• S••••••• A•••••• M••••••••• L••Mar 31, 2023 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- E•••••• S••••••• A•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E•••••• S••••••• A•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 717-396-1116reportedpublic record, Form ADV, Mar 30, 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
- Asset manager (funds and pooled vehicles)deriveda 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