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•• A•••• M••••••••• L••
Latest filing Feb 29, 2024
First filing on the tape May 5, 2021 · 11 filings
RAUM
$36.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$36.2M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$36.2M as of Feb 29, 2024
Feb 18, 2022$39.2M then
HNW client RAUM$36.2M as of Feb 29, 2024
Feb 18, 2022$39.2M then
State-registered IARs (5.B.3)1 as of Feb 29, 2024
Feb 18, 20221 then
Employees (5.A)1 as of Feb 29, 2024
Feb 18, 20221 then
Private funds: no history
RAUM +8.8% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 29, 2024; every figure names its basis
- RAUM per advisor
- $36.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 6derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.0MderivedHNW RAUM over HNW clients
- Average account
- $2.8MderivedRAUM 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 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $36.2M, 6 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$36.2M100%
- Individual clients
- 0reported
- HNW clients
- 6reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $36.2M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••••• J••• L•••••• | Bethesda, Md | Jan 1, 2026 | 26 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- E••••• J••• L•••••• from U••••• C•••••• F•••••••• A•••••••Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••••• E•••••• J••• · Managing Member/Chief Compliance Officercontrolsince 04/2011 · owns 75% or more
Related persons
Schedule D 7.A
- L•••••• V•••••••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $35.4M to $36.2MAug 31, 2023 to Feb 29, 2024
- Discretionary RAUM · $35.4M to $36.2MAug 31, 2023 to Feb 29, 2024
- HNW RAUM · $35.4M to $36.2MAug 31, 2023 to Feb 29, 2024
- RAUM · $35.4M to $36.2MAug 31, 2023 to Feb 29, 2024
- Assets in custody · unset to 35392950.0Jul 13, 2023 to Aug 31, 2023
- Custody of client assets · false to trueJul 13, 2023 to Aug 31, 2023
- Discretionary RAUM · $33.2M to $35.4MJul 13, 2023 to Aug 31, 2023
- HNW RAUM · $33.2M to $35.4MJul 13, 2023 to Aug 31, 2023
- RAUM · $33.2M to $35.4MJul 13, 2023 to Aug 31, 2023
- Accounts · 15 to 13Feb 18, 2022 to Feb 23, 2023
- HNW clients · 7 to 6Feb 18, 2022 to Feb 23, 2023
- Discretionary RAUM · $39.2M to $33.2MFeb 18, 2022 to Feb 23, 2023
- HNW RAUM · $39.2M to $33.2MFeb 18, 2022 to Feb 23, 2023
- RAUM · $39.2M to $33.2MFeb 18, 2022 to Feb 23, 2023
- Discretionary RAUM · $34.3M to $39.2MAug 6, 2021 to Feb 18, 2022
- HNW RAUM · $34.3M to $39.2MAug 6, 2021 to Feb 18, 2022
- RAUM · $34.3M to $39.2MAug 6, 2021 to Feb 18, 2022
Signals
1 dated events
- E•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)May 5, 2021 · 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
- $36.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026