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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Former SEC-registered adviser

E•• W••••• M••••••••• L••

Former SEC-registered adviserMansfield, OhioCRD 154889SEC 801-78006IAPD
Latest filing Dec 16, 2015
First filing on the tape Apr 23, 2013 · 9 filings
RAUM
$122M
reported, Item 5.F
Discretionary
0.0%
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
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$122M as of Sep 21, 2015
Sep 16, 2013$140M then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Sep 21, 2015
Sep 16, 20134 then
Employees (5.A)5 as of Sep 21, 2015
Sep 16, 20134 then
Private funds: no history
RAUM -26% over the last fiscal yearIARs 5 to 3
Practice profile
derived from the filing of Dec 16, 2015; every figure names its basis
RAUM per advisor
$40.8MderivedRAUM 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
$569,562derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-26%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 businesses and institutions, pension consulting, educational seminarsreportedItem 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)
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
215reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••• P••••••• J•••• · Chief Compliance Officercontrol
    since 12/2015 · owns less than 5%
  • B••••••••• A•••• M•••••• · Presidentcontrol
    since 07/2011 · owns 75% or more of N•• V•••••• C••••••• I•••
Entity owners
  • N•• V•••••• C••••••• I••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
  • Federal Way, WA
What changed
consecutive filings, newest first
  • Advisory employees · 5 to 3
    Sep 21, 2015 to Dec 16, 2015
  • BD registered reps · 2 to 0
    Sep 21, 2015 to Dec 16, 2015
  • Employees · 5 to 3
    Sep 21, 2015 to Dec 16, 2015
  • Insurance-licensed employees · 2 to 0
    Sep 21, 2015 to Dec 16, 2015
  • State-registered IARs · 5 to 3
    Sep 21, 2015 to Dec 16, 2015
  • Related broker-dealer · true to false
    Sep 21, 2015 to Dec 16, 2015
  • Accounts · 674 to 215
    Jul 29, 2015 to Sep 21, 2015
  • BD registered reps · 5 to 2
    Jul 29, 2015 to Sep 21, 2015
  • Insurance-licensed employees · 0 to 2
    Jul 29, 2015 to Sep 21, 2015
  • Discretionary RAUM · $2.2M to $0
    Jul 29, 2015 to Sep 21, 2015
  • Non-discretionary RAUM · $164M to $122M
    Jul 29, 2015 to Sep 21, 2015
  • RAUM · $167M to $122M
    Jul 29, 2015 to Sep 21, 2015
  • Advisory activities · 5 to 4
    Jan 20, 2015 to Jul 29, 2015
  • Accounts · 582 to 674
    Sep 17, 2013 to Sep 11, 2014
  • Advisory employees · 4 to 5
    Sep 17, 2013 to Sep 11, 2014
  • BD registered reps · 3 to 5
    Sep 17, 2013 to Sep 11, 2014
  • Employees · 4 to 5
    Sep 17, 2013 to Sep 11, 2014
  • State-registered IARs · 4 to 5
    Sep 17, 2013 to Sep 11, 2014
  • Discretionary RAUM · $405,000 to $2.2M
    Sep 17, 2013 to Sep 11, 2014
  • Non-discretionary RAUM · $140M to $164M
    Sep 17, 2013 to Sep 11, 2014
  • RAUM · $140M to $167M
    Sep 17, 2013 to Sep 11, 2014
  • Accounts · 521 to 582
    Sep 16, 2013 to Sep 16, 2013
  • Advisory employees · 2 to 4
    Sep 16, 2013 to Sep 16, 2013
  • BD registered reps · 1 to 3
    Sep 16, 2013 to Sep 16, 2013
  • Employees · 2 to 4
    Sep 16, 2013 to Sep 16, 2013
  • Insurance-licensed employees · 1 to 0
    Sep 16, 2013 to Sep 16, 2013
  • State-registered IARs · 2 to 4
    Sep 16, 2013 to Sep 16, 2013
  • Discretionary RAUM · $48.4M to $405,000
    Sep 16, 2013 to Sep 16, 2013
  • Non-discretionary RAUM · $84.6M to $140M
    Sep 16, 2013 to Sep 16, 2013
  • RAUM · $133M to $140M
    Sep 16, 2013 to Sep 16, 2013
Signals
1 dated events
  • E•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 23, 2013 · First SEC registration · fact
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