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•••• C•••••• M••••••••• I•••
Latest filing May 11, 2026
First filing on the tape May 11, 2026 · 1 filings
SEC status approved since May 4, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $116M
HNW client RAUM: $32.9M
State-registered IARs (5.B.3): 1
Employees (5.A): 3
Private funds: no history
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $116MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 178derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $250,117derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices 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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- Individuals$77.8M67%
- High-net-worth individuals$32.9M28%
- Pension and profit-sharing plans$5.3M4.5%
- Corporations and businesses$311,1200.3%
- Individual clients
- 173reported
- HNW clients
- 5reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 465reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• A••• E•••• | Eureka, Ca | Feb 3, 2011 | 16 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- C••••• W••••• to C••••••Nov 5, 2025 · RIA to RIA
- R•••••• Y••••• M••• to A•••• P•••••••• L••Jun 2, 2022 · RIA to RIA
- H•••••• D•••• P•••••• to C••• B•••••••• S•••••••• I•••Apr 11, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- R•••••• Y••••• M••• from P•••••• F•••••••• G•••• I••Mar 24, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• B•••••••• A••• · Ceo, Ccocontrolsince 08/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Eureka, Ca · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
2 dated events
- C••••• W••••• left E•••• C•••••• M••••••••• I••• for Corient (registered 2026-01-30)Nov 5, 2025 · Advisor changed firm · fact
- R•••••• Y••••• M••• left E•••• C•••••• M••••••••• I••• for A•••• P•••••••• L•• (registered 2022-09-08)Jun 2, 2022 · Advisor changed firm · 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
- 707-407-3813reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- E••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 707-407-3813reportedpublic record, Form ADV, May 11, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $116Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026