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•••••••
Legal name E•• A••••••• I•••
Latest filing Mar 6, 2024
First filing on the tape Feb 15, 2014 · 25 filings
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$283M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$283M as of Mar 6, 2024
Feb 13, 2015$181M then
HNW client RAUM$188M as of Mar 6, 2024
Mar 14, 2018$94.8M then
State-registered IARs (5.B.3)3 as of Mar 6, 2024
Feb 13, 20155 then
Employees (5.A)4 as of Mar 6, 2024
Feb 13, 20156 then
Private funds: no history
RAUM +24% over the last fiscal year+6.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 2024; every figure names its basis
- RAUM per advisor
- $94.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 180derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $250,024derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -7.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$188M66%
- Individuals$94.9M34%
- Individual clients
- 479reported
- HNW clients
- 61reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,131reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
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
- W•••••• O•••••• S•••• to W•••••• A•••••••• L••May 7, 2024 · RIA to RIA
- C••••••••• J•••• R••••••• to W•••••• A•••••••• L••May 6, 2024 · RIA to RIA
- D•••••• M•• M••••••• to W•••••• A•••••••• L••May 6, 2024 · RIA to RIA
- T••••• B•••••• W•••• to M•••• F••••••• I•••Jan 17, 2023 · RIA to a newly registered adviser
Joined, latest
- W•••••• O•••••• S•••• from C• P••••••• C•••Jan 10, 2014 · Other
- T••••• B•••••• W•••• from C• P••••••• C•••Jan 9, 2014 · Other
- D•••••• M•• M••••••• from C• P••••••• C•••Sep 19, 2012 · Other
- C••••••••• J•••• R••••••• from C• P••••••• C•••Jul 5, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for W•••••• A•••••••• L••May 6, 2024 · Jackson, Ms · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• D••••••• M•• · Presidentcontrolsince 02/2012 · owns 50% to 75%
- R•••••••• C••••••••• J•••• · Vice-President; Chief Compliance Officercontrolsince 02/2012 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Jackson, Ms · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,154 to 1,131Mar 3, 2023 to Mar 6, 2024
- HNW clients · 44 to 61Mar 3, 2023 to Mar 6, 2024
- Individual clients · 540 to 479Mar 3, 2023 to Mar 6, 2024
- Discretionary RAUM · $228M to $283MMar 3, 2023 to Mar 6, 2024
- HNW RAUM · $129M to $188MMar 3, 2023 to Mar 6, 2024
- Individual RAUM · $98.5M to $94.9MMar 3, 2023 to Mar 6, 2024
- RAUM · $228M to $283MMar 3, 2023 to Mar 6, 2024
- Accounts · 1,226 to 1,154Jan 11, 2023 to Mar 3, 2023
- HNW clients · 62 to 44Jan 11, 2023 to Mar 3, 2023
- Individual clients · 1,164 to 540Jan 11, 2023 to Mar 3, 2023
- Discretionary RAUM · $284M to $228MJan 11, 2023 to Mar 3, 2023
- HNW RAUM · $176M to $129MJan 11, 2023 to Mar 3, 2023
- Individual RAUM · $107M to $98.5MJan 11, 2023 to Mar 3, 2023
- RAUM · $284M to $228MJan 11, 2023 to Mar 3, 2023
- Advisory employees · 4 to 3Mar 29, 2022 to Jan 11, 2023
- Employees · 5 to 4Mar 29, 2022 to Jan 11, 2023
- State-registered IARs · 4 to 3Mar 29, 2022 to Jan 11, 2023
- Accounts · 1,188 to 1,226Apr 6, 2021 to Mar 29, 2022
- HNW clients · 64 to 62Apr 6, 2021 to Mar 29, 2022
- Individual clients · 649 to 1,164Apr 6, 2021 to Mar 29, 2022
- Discretionary RAUM · $238M to $284MApr 6, 2021 to Mar 29, 2022
- HNW RAUM · $145M to $176MApr 6, 2021 to Mar 29, 2022
- Individual RAUM · $92.5M to $107MApr 6, 2021 to Mar 29, 2022
- RAUM · $238M to $284MApr 6, 2021 to Mar 29, 2022
- Accounts · 1,481 to 1,188Jun 26, 2020 to Mar 15, 2021
- Corporate clients · 11 to 0Jun 26, 2020 to Mar 15, 2021
- HNW clients · 65 to 64Jun 26, 2020 to Mar 15, 2021
- Individual clients · 622 to 649Jun 26, 2020 to Mar 15, 2021
- Financial planning clients · 51-100 to 101-250Jun 26, 2020 to Mar 15, 2021
- Discretionary RAUM · $214M to $238MJun 26, 2020 to Mar 15, 2021
- HNW RAUM · $118M to $145MJun 26, 2020 to Mar 15, 2021
- Individual RAUM · $94.6M to $92.5MJun 26, 2020 to Mar 15, 2021
- RAUM · $214M to $238MJun 26, 2020 to Mar 15, 2021
- Accounts · 1,148 to 1,481Mar 17, 2019 to Mar 17, 2020
- Corporate clients · 0 to 11Mar 17, 2019 to Mar 17, 2020
- HNW clients · 59 to 65Mar 17, 2019 to Mar 17, 2020
- Individual clients · 509 to 622Mar 17, 2019 to Mar 17, 2020
- Financial planning clients · 101-250 to 51-100Mar 17, 2019 to Mar 17, 2020
- Discretionary RAUM · $170M to $214MMar 17, 2019 to Mar 17, 2020
- HNW RAUM · $97.0M to $118MMar 17, 2019 to Mar 17, 2020
Signals
6 dated events
- W•••••• O•••••• S•••• left E•• A••••••• for W•••••• A•••••••• L•• (registered 2024-04-02)May 7, 2024 · Advisor changed firm · fact
- D•••••• M•• M••••••• left E•• A••••••• for W•••••• A•••••••• L•• (registered 2024-03-29)May 6, 2024 · Advisor changed firm · fact
- C••••••••• J•••• R••••••• left E•• A••••••• for W•••••• A•••••••• L•• (registered 2024-03-29)May 6, 2024 · Advisor changed firm · fact
- E•• A•••••••'s advisors moved to W•••••• A•••••••• L•• (Jackson, MS): 3 of 3 registered, a day apartMay 6, 2024 · Firm absorbed (people side) · derived
- T••••• B•••••• W•••• left E•• A••••••• for M•••• F••••••• I••• (registered 2022-10-11)Jan 17, 2023 · Advisor changed firm · fact
- E•• A••••••• filed its initial SEC registration (Form ADV)Feb 15, 2014 · 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026