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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E••••••• C•••••• M•••••••••
Legal name E••••••• I••••••••• A•••••••• L••
Latest filing Feb 4, 2026
First filing on the tape Apr 11, 2012 · 27 filings
SEC status approved since Aug 7, 2009
RAUM
$392M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
83%
$326M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$131M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$392M as of Feb 4, 2026
Apr 11, 2012$130M then
HNW client RAUM$306M as of Feb 4, 2026
Mar 12, 2018$123M then
State-registered IARs (5.B.3)3 as of Feb 4, 2026
Feb 8, 20133 then
Employees (5.A)4 as of Feb 4, 2026
Feb 8, 20136 then
Private funds: no history
RAUM +6.0% over the last fiscal year+11% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Feb 4, 2026; every figure names its basis
Archetypes, each a printed rule
- i••••••••• 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
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 81derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $132M, 91 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$306M78%
- Charitable organizations$36.8M9.4%
- Pension and profit-sharing plans$29.6M7.6%
- Individuals$19.6M5.0%
- Individual clients
- 45reported
- HNW clients
- 197reported
- Pension plan clients
- n/areported
- Charitable clients
- 8reported
- Accounts
- 252reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $132M for 91 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.17 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Y••••• W••••••• M••••• | Charlotte, Nc | Nov 17, 2011 | 33 y | 1 |
| A••• M•••• C••••••• J••••••Certified Financial Planner | Charlotte, Nc | Mar 5, 2018 | 12 y | 0 |
| L•••• A•••••••• G•••••• | Charlotte, Nc | Jun 29, 2021 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- J•• N•• to I••••••••• A•••••• A•••••••• L••Sep 17, 2025 · Other
- J••••• M•••••• B••••• to G•••• C•••••• L••Jan 15, 2021 · Other
- M•••••• J••••• R•••• to A•• W•••••• L••Mar 21, 2016 · Other
- D•••• B•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Mar 14, 2012 · Other
Joined, latest
- J•• N•• from F•••• H•••••• A•••••••• I••May 16, 2019 · RIA to RIA
- Y••••• W••••••• M••••• from I••••••••• P••••••••• I•••Nov 17, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• Y•••••• W••••••• · Owner/Ceo/Client A••••••controlsince 03/2015 · owns 75% or more
- D••••••••• D••••• S••••• · Cco / Coosince 01/2021 · owns less than 5%
Related persons
Schedule D 7.A
- M•••• P••• C•••••• M••••••••• L••investment advisern
Advisers that list E••••••• C•••••• M••••••••• as a related person
- 173183 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Charlotte, Nc · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Feb 4, 2026accounts (Item 5.F.2.f) moved from 597.0 to 252.0 (-58.0%) between the annual amendments of 2025-02-20 and 2026-02-04; the peer median change was +5.0% (3687 comparable advisers, 2.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (3,687) · 2.3% percentile
What changed
consecutive filings, newest first
- Accounts · 597 to 252Feb 20, 2025 to Feb 4, 2026
- Advisory employees · 4 to 3Feb 20, 2025 to Feb 4, 2026
- HNW clients · 206 to 197Feb 20, 2025 to Feb 4, 2026
- Individual clients · 44 to 45Feb 20, 2025 to Feb 4, 2026
- Assets in custody · $120M to $132MFeb 20, 2025 to Feb 4, 2026
- Employees · 5 to 4Feb 20, 2025 to Feb 4, 2026
- State-registered IARs · 4 to 3Feb 20, 2025 to Feb 4, 2026
- Discretionary RAUM · $344M to $360MFeb 20, 2025 to Feb 4, 2026
- HNW RAUM · $293M to $306MFeb 20, 2025 to Feb 4, 2026
- Individual RAUM · $17.9M to $19.6MFeb 20, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $26.0M to $32.1MFeb 20, 2025 to Feb 4, 2026
- Pension RAUM · $26.2M to $29.6MFeb 20, 2025 to Feb 4, 2026
- RAUM · $370M to $392MFeb 20, 2025 to Feb 4, 2026
- Accounts · 544 to 597May 15, 2024 to Feb 20, 2025
- Advisory employees · 5 to 4May 15, 2024 to Feb 20, 2025
- HNW clients · 208 to 206May 15, 2024 to Feb 20, 2025
- Individual clients · 42 to 44May 15, 2024 to Feb 20, 2025
- Assets in custody · $105M to $120MMay 15, 2024 to Feb 20, 2025
- Financial planning clients · 0 to 0May 15, 2024 to Feb 20, 2025
- State-registered IARs · 5 to 4May 15, 2024 to Feb 20, 2025
- Discretionary RAUM · $307M to $344MMay 15, 2024 to Feb 20, 2025
- HNW RAUM · $264M to $293MMay 15, 2024 to Feb 20, 2025
- Individual RAUM · $12.0M to $17.9MMay 15, 2024 to Feb 20, 2025
- Non-discretionary RAUM · $20.9M to $26.0MMay 15, 2024 to Feb 20, 2025
- Pension RAUM · $21.1M to $26.2MMay 15, 2024 to Feb 20, 2025
- RAUM · $328M to $370MMay 15, 2024 to Feb 20, 2025
- Accounts · 529 to 544Feb 2, 2023 to Feb 12, 2024
- Advisory activities · 3 to 4Feb 2, 2023 to Feb 12, 2024
- Charity clients · 7 to 8Feb 2, 2023 to Feb 12, 2024
- HNW clients · 203 to 208Feb 2, 2023 to Feb 12, 2024
- Individual clients · 28 to 42Feb 2, 2023 to Feb 12, 2024
- Assets in custody · $66.1M to $105MFeb 2, 2023 to Feb 12, 2024
- Discretionary RAUM · $268M to $307MFeb 2, 2023 to Feb 12, 2024
- HNW RAUM · $236M to $264MFeb 2, 2023 to Feb 12, 2024
- Individual RAUM · $6.9M to $12.0MFeb 2, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $15.8M to $20.9MFeb 2, 2023 to Feb 12, 2024
- Pension RAUM · $16.4M to $21.1MFeb 2, 2023 to Feb 12, 2024
- RAUM · $284M to $328MFeb 2, 2023 to Feb 12, 2024
- Accounts · 476 to 529Feb 10, 2022 to Feb 2, 2023
- Charity clients · 9 to 7Feb 10, 2022 to Feb 2, 2023
Signals
1 dated events
- J•• N•• left E••••••• C•••••• M••••••••• for I••••••••• A•••••• A•••••••• L•• (registered 2025-09-23)Sep 17, 2025 · a•••••• firm change · 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 phone
- 704-336-6818reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- E•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 704-336-6818reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- eastovercapital.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $131Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026