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•••••• I•••••••••
Legal name E•••••• I••••••••• L••
Latest filing Sep 9, 2026
First filing on the tape Apr 12, 2013 · 20 filings
SEC status approved since Apr 26, 2013
RAUM
$9.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
42%
$4.1M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$3.3M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$9.9M as of Feb 25, 2026
Apr 1, 2014$0 then
HNW client RAUM$4.0M as of Feb 25, 2026
Mar 22, 2018$996,113 then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Apr 1, 20140 then
Employees (5.A)4 as of Feb 25, 2026
Apr 1, 20144 then
Private funds: no history
RAUM +21% over the last fiscal year+120% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $3.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $666,010derivedHNW RAUM over HNW clients
- Average account
- $826,250derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 58%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 institutionsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$5.8M58%
- High-net-worth individuals$4.0M40%
- Individuals$146,2181.5%
- Individual clients
- n/areported
- HNW clients
- 6reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 12reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.42 fund_share=0.0 institutional_share=0.58 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E•••• C• M•••• | Walnut Creek, Ca | Aug 28, 2024 | 20 y | 5 |
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
- E•••• C• M•••• from H••••• C•••••• M••••••••• L••Aug 28, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••• E••••• C• · Partner, Cio Fundamentalscontrolsince 07/2024 · owns 10% to 25%
- R••••••••• G••••••• J•••• · Managing Director, Chief Compliance Officercontrolsince 05/2012 · owns 50% to 75%
- C••••••• L••••• M••• · Partnercontrolsince 09/1997 · owns 25% to 50% of L••• C•••• L•••••• P•••••••
- C••••••• M•••• A•••• · Partnercontrolsince 09/1997 · owns F of L••• C•••• L•••••• P•••••••
- C••••••• N•••••••• J•••• · Partnercontrolsince 09/1997 · owns 25% to 50% of L••• C•••• L•••••• P•••••••
Entity owners
- L••• C•••• L•••••• P••••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- E•••••• A•••••••• I•••investment adviseryRAUM $64.7M
- E•••••• D••••••••• I•••broker-dealern
Advisers that list E•••••• I••••••••• as a related person
- 108425 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Austin, Tx · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetFeb 25, 2026 to Sep 9, 2026
- Succession · false to unsetFeb 25, 2026 to Sep 9, 2026
- Accounts · 11 to 12Apr 8, 2025 to Feb 25, 2026
- HNW clients · unset to 6.0Apr 8, 2025 to Feb 25, 2026
- Discretionary RAUM · $8.2M to $9.9MApr 8, 2025 to Feb 25, 2026
- HNW RAUM · $3.4M to $4.0MApr 8, 2025 to Feb 25, 2026
- Individual RAUM · $124,374 to $146,218Apr 8, 2025 to Feb 25, 2026
- RAUM · $8.2M to $9.9MApr 8, 2025 to Feb 25, 2026
- Financial planning clients · unset to Feb 28, 2025 to Apr 8, 2025
- Accounts · 3 to 11Sep 9, 2024 to Feb 28, 2025
- Advisory activities · 1 to 2Sep 9, 2024 to Feb 28, 2025
- BD registered reps · 3 to 2Sep 9, 2024 to Feb 28, 2025
- HNW clients · 2.0 to unsetSep 9, 2024 to Feb 28, 2025
- Employees · 3 to 4Sep 9, 2024 to Feb 28, 2025
- Insurance-licensed employees · 3 to 2Sep 9, 2024 to Feb 28, 2025
- Other offices · 0 to 1Sep 9, 2024 to Feb 28, 2025
- Discretionary RAUM · $1.0M to $8.2MSep 9, 2024 to Feb 28, 2025
- HNW RAUM · $1.0M to $3.4MSep 9, 2024 to Feb 28, 2025
- Individual RAUM · unset to 124374.0Sep 9, 2024 to Feb 28, 2025
- RAUM · $1.0M to $8.2MSep 9, 2024 to Feb 28, 2025
- Discretionary RAUM · $933,267 to $1.0MMar 1, 2023 to Mar 5, 2024
- HNW RAUM · $933,267 to $1.0MMar 1, 2023 to Mar 5, 2024
- RAUM · $933,267 to $1.0MMar 1, 2023 to Mar 5, 2024
- Insurance-licensed employees · 0 to 3Mar 15, 2022 to Mar 1, 2023
- State-registered IARs · 0 to 3Mar 15, 2022 to Mar 1, 2023
- Discretionary RAUM · $1.2M to $933,267Mar 15, 2022 to Mar 1, 2023
- HNW RAUM · $1.2M to $933,267Mar 15, 2022 to Mar 1, 2023
- RAUM · $1.2M to $933,267Mar 15, 2022 to Mar 1, 2023
- Accounts · 4 to 3Mar 26, 2021 to Mar 15, 2022
- HNW clients · 3 to 2Mar 26, 2021 to Mar 15, 2022
- Discretionary RAUM · $866,238 to $1.2MMar 26, 2021 to Mar 15, 2022
- HNW RAUM · $866,238 to $1.2MMar 26, 2021 to Mar 15, 2022
- RAUM · $866,238 to $1.2MMar 26, 2021 to Mar 15, 2022
- Accounts · 5 to 4Jun 30, 2020 to Mar 26, 2021
- HNW clients · 2 to 3Jun 30, 2020 to Mar 26, 2021
- Discretionary RAUM · $883,842 to $866,238Jun 30, 2020 to Mar 26, 2021
- HNW RAUM · $883,842 to $866,238Jun 30, 2020 to Mar 26, 2021
- RAUM · $883,842 to $866,238Jun 30, 2020 to Mar 26, 2021
- Accounts · 6 to 5Mar 29, 2019 to Mar 30, 2020
- HNW clients · 3 to 2Mar 29, 2019 to Mar 30, 2020
Signals
2 dated events
- C Eswar Menon (Partner, Cio Fundamentals) appeared on Schedule A of E•••••• I•••••••••Aug 21, 2024 · Control person joined · fact
- E•••••• I••••••••• filed its initial SEC registration (Form ADV)Apr 12, 2013 · 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
- Business phone
- 512-328-9809reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 512-583-0160reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-583-0160reportedpublic record, Form ADV, Sep 9, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- e•••••••••.comreportedpublished by the firm, firm site, Sep 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $3.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026