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•••••••• T••••••••• M••••••••• L••
Latest filing Mar 2, 2026
First filing on the tape Mar 19, 2012 · 26 filings
SEC status approved since Oct 21, 2011
RAUM
$132M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$132M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$132M as of Mar 2, 2026
Mar 19, 2012$79.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 2, 2026
Mar 27, 20130 then
Employees (5.A)1 as of Mar 2, 2026
Mar 27, 20132 then
Private funds2 as of Mar 21, 2023
Mar 19, 20121 then
RAUM -23% over the last fiscal year+5.8% a year over threeIARs 0 to 1
Practice profile
derived from the filing of Mar 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $132MderivedRAUM 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
- $132MderivedRAUM 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
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -23%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 investment companiesreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$132M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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=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 |
|---|---|---|---|---|
| J••• D•••• A••••• | Seattle, Wa | May 10, 2024 | 16 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 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
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• F••• I• L•••no longer reported | Hedge Fund | $97.2M | 26 | Mar 19, 2012 |
| T•• E•••••••• F••• F•• C••••• R••••••• L•no longer reported | Hedge Fund | $13.9M | 9 | Mar 27, 2019 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• J•••• D•••• · Managing Member, Chief Compliance Officercontrolsince 07/2008 · owns 50% to 75%
- S••••••• M••••••• S•••• · Managing Membercontrolsince 07/2008 · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Wesley Chapel, FL1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 2, 2026discretionary share of RAUM of 0% against a peer median of 100% (1568 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $100M to $500M (1,568) · 0.0% percentile
What changed
consecutive filings, newest first
- State-registered IARs · 0 to 1Mar 12, 2025 to Mar 2, 2026
- Non-discretionary RAUM · $170M to $132MMar 12, 2025 to Mar 2, 2026
- RAUM · $170M to $132MMar 12, 2025 to Mar 2, 2026
- Financial planning clients · 0 to Jul 31, 2024 to Mar 12, 2025
- Other offices · 2 to 1Jul 31, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $169M to $170MJul 31, 2024 to Mar 12, 2025
- RAUM · $169M to $170MJul 31, 2024 to Mar 12, 2025
- Other offices · 1 to 2Jun 11, 2024 to Jul 31, 2024
- HQ city · unset to SEATTLEApr 16, 2024 to Jun 11, 2024
- HQ state · unset to WAApr 16, 2024 to Jun 11, 2024
- Other offices · 0 to 1Apr 16, 2024 to Jun 11, 2024
- Discretionary RAUM · $169M to $0Apr 16, 2024 to Jun 11, 2024
- Non-discretionary RAUM · $0 to $169MApr 16, 2024 to Jun 11, 2024
- Employees · 2 to 1Mar 12, 2024 to Apr 16, 2024
- HQ city · SEATTLE to unsetMar 12, 2024 to Apr 16, 2024
- HQ state · WA to unsetMar 12, 2024 to Apr 16, 2024
- Discretionary RAUM · $148M to $169MJul 14, 2023 to Mar 12, 2024
- RAUM · $148M to $169MJul 14, 2023 to Mar 12, 2024
- Accounts · 2 to 1Mar 21, 2023 to Jul 14, 2023
- Pooled vehicle clients · 2.0 to unsetMar 21, 2023 to Jul 14, 2023
- Private funds · 2 to unsetMar 21, 2023 to Jul 14, 2023
- Discretionary RAUM · $111M to $148MMar 21, 2023 to Jul 14, 2023
- Pooled vehicle RAUM · 111047639.0 to unsetMar 21, 2023 to Jul 14, 2023
- RAUM · $111M to $148MMar 21, 2023 to Jul 14, 2023
- Discretionary RAUM · $125M to $111MJan 17, 2023 to Mar 21, 2023
- Pooled vehicle RAUM · $125M to $111MJan 17, 2023 to Mar 21, 2023
- RAUM · $125M to $111MJan 17, 2023 to Mar 21, 2023
- Discretionary RAUM · $103M to $125MMay 7, 2021 to Mar 9, 2022
- Pooled vehicle RAUM · $103M to $125MMay 7, 2021 to Mar 9, 2022
- RAUM · $103M to $125MMay 7, 2021 to Mar 9, 2022
- Discretionary RAUM · $103M to $103MMar 3, 2020 to Mar 10, 2021
- Pooled vehicle RAUM · $103M to $103MMar 3, 2020 to Mar 10, 2021
- RAUM · $103M to $103MMar 3, 2020 to Mar 10, 2021
- Advisory employees · 2 to 1Sep 30, 2019 to Mar 3, 2020
- Other offices · 1 to 0Sep 30, 2019 to Mar 3, 2020
- Discretionary RAUM · $103M to $103MSep 30, 2019 to Mar 3, 2020
- Pooled vehicle RAUM · $103M to $103MSep 30, 2019 to Mar 3, 2020
- RAUM · $103M to $103MSep 30, 2019 to Mar 3, 2020
- HQ city · NEW YORK to SEATTLEMar 27, 2019 to Sep 30, 2019
- HQ state · NY to WAMar 27, 2019 to Sep 30, 2019
Signals
1 dated events
- Kevin Moore (Managing Member) no longer on Schedule A of E•••••••• T••••••••• M••••••••• L•• (listed 2024-03-12, absent 2024-04-16)Apr 16, 2024 · Control person left · inference
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••••••••-T•••••••••reportedpublic record, Form ADV, Sep 19, 2026
- Website
- E••••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 206-745-2136reportedpublic record, Form ADV, Mar 2, 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
- $132Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026