DFX Intelligence

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E•••• I••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $26,364 of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $26,364
Advisors: 1
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-06-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 152361 · SEC 801-134951 · 3 filingsShow

CRD 152361SEC 801-134951Legal name E•••• I•••••••••First filing on the tape Nov 24, 2025, latest Jun 12, 2026SEC status approved since Dec 17, 2025IAPD

RAUM

$26,364

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$26,364 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$26,364

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

Filed figures over time · the tape starts Nov 24, 2025

Peer group: Independent wealth managers, under $100M, 707 firms

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$26,364 as of Jun 12, 2026

Nov 24, 2025$0 then

HNW client RAUM$10,000 as of Mar 5, 2026

Nov 24, 2025$0 then

State-registered IARs (5.B.3)0 as of Jun 12, 2026

Nov 24, 20251 then

Employees (5.A)1 as of Jun 12, 2026

Nov 24, 20251 then

Private funds: no history

RAUM n/a over the last fiscal year

Practice profile

derived from the filing of Jun 12, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $26,364derivedRAUM 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: $6,591derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office 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, 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

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$26,364100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
E••• J••• S••••	Leesburg, Va	Jun 12, 2026	26 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• E•••• J••• · Ceo / Ccocontrol
since 01/2003 · owns 75% or more

Ownership changes

Schedule A, between consecutive filings

No owner or control person joined or left between filings on the tape.

Who runs the funds

related persons named most often on the Form D filings of the firm's funds

No Form D related person is on record for this firm's funds.

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

business activity changedChange between filings · filing Jun 12, 2026
portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2026-03-05, no on the filing of 2026-06-12
peers: independent wealth managers, under $100M (707)
compensation changedChange between filings · filing Jun 12, 2026
subscription fees (Item 5.E.3): yes on the filing of 2026-03-05, no on the filing of 2026-06-12
peers: independent wealth managers, under $100M (707)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 2 to 4
Mar 5, 2026 to Jun 12, 2026
Advisory activities · 8 to 2
Mar 5, 2026 to Jun 12, 2026
Pooled vehicle clients · 0.0 to unset
Mar 5, 2026 to Jun 12, 2026
Discretionary RAUM · $10,000 to $26,364
Mar 5, 2026 to Jun 12, 2026
HNW RAUM · 10000.0 to unset
Mar 5, 2026 to Jun 12, 2026

Full history · 14 changes

Individual RAUM · $0 to $26,364
Mar 5, 2026 to Jun 12, 2026
Pension RAUM · 0.0 to unset
Mar 5, 2026 to Jun 12, 2026
Pooled vehicle RAUM · 0.0 to unset
Mar 5, 2026 to Jun 12, 2026
RAUM · $10,000 to $26,364
Mar 5, 2026 to Jun 12, 2026
Accounts · 0 to 2
Nov 24, 2025 to Mar 5, 2026
State-registered IARs · 1 to 0
Nov 24, 2025 to Mar 5, 2026
Discretionary RAUM · $0 to $10,000
Nov 24, 2025 to Mar 5, 2026
HNW RAUM · $0 to $10,000
Nov 24, 2025 to Mar 5, 2026
RAUM · $0 to $10,000
Nov 24, 2025 to Mar 5, 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.

Web presence

addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

Website (1), LinkedIn company page (1) · the addresses open with an account

How to reach

public business contact points only, each with its source

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 12, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $26,364derivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: RAUM change, 1 year.