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•••• A•••• M•••••••••
Latest filing Jul 16, 2026
First filing on the tape Dec 23, 2011 · 35 filings
SEC status approved since Apr 26, 2011
RAUM
$3.7B
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$3.7B as of Jul 16, 2026
May 14, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 16, 2026
May 14, 20120 then
Employees (5.A)12 as of Jul 16, 2026
Jun 4, 201316 then
Private funds: no history
RAUM +16% over the last fiscal year-9.4% a year over threeIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $617MderivedRAUM 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
- +35%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 businesses and institutions, portfolio management for investment companies, otherreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 6reported
- 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=true related_bank=false bd_reps=5.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• M•••••••• E••• · Ceo/Treasurer/Trustee/Class A Voting Shareholdercontrolsince 12/2010 · owns 75% or more
- A••••••••• A••• T••• · Trustee / Class B Voting Shareholdercontrolsince 12/2010 · owns 25% to 50%
- E••••• J•••• P••••••• · Trustee / Class B Voting Shareholdercontrolsince 11/2015 · owns 25% to 50%
- F•••••• A•••••• · Chief Compliance Officercontrolsince 01/2019 · owns less than 5%
- R•••• R•••••• E••• · Trustee / Class B Voting Shareholdercontrolsince 04/2011 · owns 25% to 50%
- S••••• R•••••• A••••••• · Trustee / Class B Voting Shareholdercontrolsince 12/2010 · owns 25% to 50%
- S••••••••• R•••••• A••••• · Vice Presidentsince 01/2011 · owns less than 5%
Entity owners
- V•••• L•••• I••• · Non-Voting Interest Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- E•••• S••••••••• L••broker-dealery
Advisers that list E•••• A•••• M••••••••• as a related person
- 33364 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 7 to 6Jul 1, 2025 to Jul 16, 2026
- Advisory employees · 5 to 6Jul 1, 2025 to Jul 16, 2026
- Employees · 14 to 12Jul 1, 2025 to Jul 16, 2026
- Discretionary RAUM · $4.9B to $3.7BJul 1, 2025 to Jul 16, 2026
- RAUM · $4.9B to $3.7BJul 1, 2025 to Jul 16, 2026
- Employees · 15 to 14Dec 4, 2024 to Jul 1, 2025
- Financial planning clients · unset to Dec 4, 2024 to Jul 1, 2025
- Discretionary RAUM · $4.8B to $4.9BDec 4, 2024 to Jul 1, 2025
- RAUM · $4.8B to $4.9BDec 4, 2024 to Jul 1, 2025
- HQ city · NEW YORK to SARASOTAJun 25, 2024 to Dec 2, 2024
- HQ state · NY to FLJun 25, 2024 to Dec 2, 2024
- Other offices · 1 to 0Jun 25, 2024 to Dec 2, 2024
- Discretionary RAUM · $4.3B to $4.8BJun 25, 2024 to Dec 2, 2024
- RAUM · $4.3B to $4.8BJun 25, 2024 to Dec 2, 2024
- Discretionary RAUM · $4.0B to $4.3BJan 31, 2024 to Jun 25, 2024
- RAUM · $4.0B to $4.3BJan 31, 2024 to Jun 25, 2024
- Discretionary RAUM · $3.2B to $4.0BJun 22, 2023 to Jan 31, 2024
- RAUM · $3.2B to $4.0BJun 22, 2023 to Jan 31, 2024
- Accounts · 9 to 7Jun 3, 2022 to Jun 22, 2023
- Discretionary RAUM · $3.8B to $3.2BJun 3, 2022 to Jun 22, 2023
- RAUM · $3.8B to $3.2BJun 3, 2022 to Jun 22, 2023
- Accounts · 10 to 9Jun 3, 2021 to Jun 3, 2022
- Discretionary RAUM · $5.0B to $3.8BJun 3, 2021 to Jun 3, 2022
- RAUM · $5.0B to $3.8BJun 3, 2021 to Jun 3, 2022
- Advisory activities · 3 to 4Mar 10, 2021 to Jun 2, 2021
- Discretionary RAUM · $4.9B to $5.0BMar 10, 2021 to Jun 2, 2021
- RAUM · $4.9B to $5.0BMar 10, 2021 to Jun 2, 2021
- Accounts · 11 to 10Jun 29, 2020 to Mar 10, 2021
- Other offices · 0 to 1Jun 29, 2020 to Mar 10, 2021
- Discretionary RAUM · $3.6B to $4.9BJun 29, 2020 to Mar 10, 2021
- RAUM · $3.6B to $4.9BJun 29, 2020 to Mar 10, 2021
- Discretionary RAUM · $3.4B to $3.6BSep 16, 2019 to Jun 29, 2020
- RAUM · $3.4B to $3.6BSep 16, 2019 to Jun 29, 2020
- Discretionary RAUM · $3.3B to $3.4BJul 26, 2019 to Sep 13, 2019
- RAUM · $3.3B to $3.4BJul 26, 2019 to Sep 13, 2019
- Discretionary RAUM · $2.6B to $3.3BJan 10, 2019 to Jul 26, 2019
- RAUM · $2.6B to $3.3BJan 10, 2019 to Jul 26, 2019
- Discretionary RAUM · $2.5B to $2.6BMay 10, 2018 to Jun 28, 2018
- RAUM · $2.5B to $2.6BMay 10, 2018 to Jun 28, 2018
- BD registered reps · 4 to 5Sep 28, 2017 to May 10, 2018
Signals
4 dated events
- E•••• A•••• M••••••••• reported RAUM $4.9B, up 37% from $3.6B (2020-06-29 to 2021-03-10)Mar 10, 2021 · RAUM change · derived
- E•••• A•••• M••••••••• reported RAUM $3.3B, up 30% from $2.6B (2019-01-10 to 2019-07-26)Jul 26, 2019 · RAUM change · derived
- Joseph Michael Wagner (Chief Compliance Officer) no longer on Schedule A of E•••• A•••• M••••••••• (listed 2018-06-28, absent 2019-01-10)Jan 10, 2019 · Control person left · inference
- Anthony Frazia (Chief Compliance Officer) appeared on Schedule A of E•••• A•••• M•••••••••Jan 10, 2019 · Control person joined · 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
- Firm profile
- LINKEDIN.COM/COMPANY/E••••-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- valuelineportfolios.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-907-1900reportedpublic record, Form ADV, Jul 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
- 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