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•••• P•••••• W•••••

Former SEC-registered adviserCRD 166465SEC 801-77626IAPD
Legal name E•••• W••••• M••••••••• L••
Latest filing Mar 7, 2018
First filing on the tape Feb 1, 2013 · 21 filings
RAUM
$22.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$22.3M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$7.5M
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
21 filings and snapshots on the tape
RAUM$20.2M as of Apr 4, 2017
Mar 31, 2014$661M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Apr 4, 2017
Mar 31, 20141 then
Employees (5.A)1 as of Apr 4, 2017
Mar 31, 20142 then
Private funds: no history
RAUM -97% over the last fiscal year-68% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 7, 2018; every figure names its basis
RAUM per advisor
$7.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$466,667derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%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 assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$15.9M, 10 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$22.3M100%
  • Charitable organizations$100,0000.4%
Individual clients
0reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
48reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$15.9M for 10 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• A•••••• L••••••Certified Financial PlannerCoral Gables, FlJul 17, 201524 y2
C•••••• T••••• K••••••Chattanooga, TnNov 12, 202112 y1
X•••••• J••Chattanooga, Tn Nov 4, 202410 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L••••••• M••••••• A•••••• · Managing Member, Chief Executive Officer & Chief Compliance Officercontrol
      since 01/2013 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Chattanooga, Tn200
    Coral Gables, Fl200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 5 to 4
      Feb 5, 2018 to Mar 2, 2018
    • Assets in custody · unset to 15900000.0
      Nov 30, 2017 to Feb 5, 2018
    • Custody of client assets · false to true
      Nov 30, 2017 to Feb 5, 2018
    • Accounts · 41 to 48
      Apr 4, 2017 to Nov 30, 2017
    • Charity clients · unset to 1.0
      Apr 4, 2017 to Nov 30, 2017
    • Corporate clients · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • HNW clients · unset to 8.0
      Apr 4, 2017 to Nov 30, 2017
    • Individual clients · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Pension plan clients · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Pooled vehicle clients · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Other offices · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Discretionary RAUM · $20.2M to $22.4M
      Apr 4, 2017 to Nov 30, 2017
    • HNW RAUM · unset to 22300000.0
      Apr 4, 2017 to Nov 30, 2017
    • Individual RAUM · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Pension RAUM · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • Pooled vehicle RAUM · unset to 0.0
      Apr 4, 2017 to Nov 30, 2017
    • RAUM · $20.2M to $22.4M
      Apr 4, 2017 to Nov 30, 2017
    • Accounts · 49 to 41
      Mar 16, 2016 to Apr 4, 2017
    • Discretionary RAUM · $15.5M to $20.2M
      Mar 16, 2016 to Apr 4, 2017
    • Non-discretionary RAUM · $642M to $0
      Mar 16, 2016 to Apr 4, 2017
    • RAUM · $658M to $20.2M
      Mar 16, 2016 to Apr 4, 2017
    • State-registered IARs · 0 to 1
      Dec 14, 2015 to Jan 6, 2016
    • Financial planning clients · 0 to 1-10
      Sep 9, 2015 to Dec 14, 2015
    • BD registered reps · 0 to 1
      Mar 31, 2015 to May 5, 2015
    • Business name · G••••• A•••••• A•••••••• A••••••• A•••••••• E•••• P•••••• W•••• to E•••• P•••••• W•••••
      Mar 31, 2015 to May 5, 2015
    • Advisory activities · 3 to 5
      Sep 3, 2014 to Mar 31, 2015
    • Employees · 2 to 1
      Sep 3, 2014 to Mar 31, 2015
    • Financial planning clients · 1-10 to 0
      Sep 3, 2014 to Mar 31, 2015
    • State-registered IARs · 1 to 0
      Sep 3, 2014 to Mar 31, 2015
    • Discretionary RAUM · $18.4M to $15.5M
      Sep 3, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $642M to $642M
      Sep 3, 2014 to Mar 31, 2015
    • RAUM · $661M to $658M
      Sep 3, 2014 to Mar 31, 2015
    • Succession · false to true
      Sep 3, 2014 to Mar 31, 2015
    • Legal name · GLOBAL A••••••• INVESTMENT MANAGEMENT LLC to E•••• W••••• M••••••••• L••
      Mar 31, 2015 to Mar 31, 2015
    • Succession · true to false
      Mar 31, 2015 to Mar 31, 2015
    • Business name · G••••• A•••••• A••••••• to G••••• A•••••• A•••••••• A••••••• A•••••••• E•••• P•••••• W••••
      Mar 31, 2014 to Sep 3, 2014
    • Accounts · 7 to 49
      Sep 27, 2013 to Mar 31, 2014
    • Financial planning clients · 0 to 1-10
      Sep 27, 2013 to Mar 31, 2014
    • HQ city · MIAMI to unset
      Sep 27, 2013 to Mar 31, 2014
    • HQ state · FL to unset
      Sep 27, 2013 to Mar 31, 2014
    Signals
    2 dated events
    • G••••• A•••••• A•••••••• A••••••• A•••••••• E•••• P•••••• W•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 31, 2015 · Succession (Item 4) · fact
    • G••••• A•••••• A••••••• filed its initial SEC registration (Form ADV)
      Feb 1, 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
    Website
    E••••P••••••W••••H.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
    $7.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026