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••• E•• W••••• M•••••••••
Legal name P•••••••• W••••• M••••••••• I•••
Latest filing Oct 7, 2023
First filing on the tape May 26, 2022 · 8 filings
RAUM
$23.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$22.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$23.8M
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
8 filings and snapshots on the tape
RAUM$23.8M as of Aug 10, 2023
Sep 7, 2022$27.0M then
HNW client RAUM$4.4M as of Aug 10, 2023
Sep 7, 2022$4.0M then
State-registered IARs (5.B.3)1 as of Aug 10, 2023
Sep 7, 20224 then
Employees (5.A)1 as of Aug 10, 2023
Sep 7, 20224 then
Private funds: no history
RAUM -12% over the last fiscal yearIARs 4 to 1offices 3 to 0
Practice profile
derived from the filing of Oct 7, 2023; every figure names its basis
- RAUM per advisor
- $23.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $876,418derivedHNW RAUM over HNW clients
- Average account
- $345,102derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%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
- -12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $23.8M, 69 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$18.4M77%
- High-net-worth individuals$4.4M18%
- Insurance companies$551,2282.3%
- Charitable organizations$439,6891.8%
- Individual clients
- 62reported
- HNW clients
- 5reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 69reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $23.8M for 69 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 |
|---|---|---|---|---|
| S••••• J••••• K•••••••• | Hampton Bays, Ny | Jun 16, 2021 | 31 y | 3 |
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
- S••••• J••••• K•••••••• from E••• E•• W••••• M•••••••••Jun 16, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• S•••••• J••••• · President And Chief Compliance Officercontrolsince 01/2012 · owns 75% or more
Related persons
Schedule D 7.A
- E••• E•• G•••• I•••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Sep 20, 2023 to Oct 7, 2023
- Accounts · 86 to 69Mar 31, 2023 to Aug 10, 2023
- Advisory employees · 2 to 1Mar 31, 2023 to Aug 10, 2023
- HNW clients · 6 to 5Mar 31, 2023 to Aug 10, 2023
- Individual clients · 86 to 62Mar 31, 2023 to Aug 10, 2023
- Assets in custody · unset to 23812064.0Mar 31, 2023 to Aug 10, 2023
- Custody of client assets · false to trueMar 31, 2023 to Aug 10, 2023
- Employees · 2 to 1Mar 31, 2023 to Aug 10, 2023
- State-registered IARs · 2 to 1Mar 31, 2023 to Aug 10, 2023
- Other offices · 1 to 0Mar 31, 2023 to Aug 10, 2023
- Discretionary RAUM · $27.0M to $23.8MMar 31, 2023 to Aug 10, 2023
- HNW RAUM · $4.0M to $4.4MMar 31, 2023 to Aug 10, 2023
- Individual RAUM · $23.0M to $18.4MMar 31, 2023 to Aug 10, 2023
- RAUM · $27.0M to $23.8MMar 31, 2023 to Aug 10, 2023
- Advisory employees · 4 to 2Sep 7, 2022 to Mar 31, 2023
- Employees · 4 to 2Sep 7, 2022 to Mar 31, 2023
- State-registered IARs · 4 to 2Sep 7, 2022 to Mar 31, 2023
- Other offices · 3 to 1Sep 7, 2022 to Mar 31, 2023
- Related insurance company · true to falseSep 7, 2022 to Mar 31, 2023
- Accounts · 98 to 86May 27, 2022 to Sep 7, 2022
- Charity clients · unset to 1.0May 27, 2022 to Sep 7, 2022
- HNW clients · 8 to 6May 27, 2022 to Sep 7, 2022
- Individual clients · unset to 86.0May 27, 2022 to Sep 7, 2022
- Discretionary RAUM · $30.0M to $27.0MMay 27, 2022 to Sep 7, 2022
- HNW RAUM · $30.0M to $4.0MMay 27, 2022 to Sep 7, 2022
- Individual RAUM · unset to 23000000.0May 27, 2022 to Sep 7, 2022
- RAUM · $30.0M to $27.0MMay 27, 2022 to Sep 7, 2022
Signals
2 dated events
- Daniel Elliot Allswang (Chief Compliance Officer) no longer on Schedule A of E••• E•• W••••• M••••••••• (listed 2022-09-07, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- E••• E•• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 26, 2022 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/east-end-wealth-management/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- EastEndWealth.comreportedpublic record, Form ADV, Sep 18, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $23.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026