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

C••••••• E•••• J•

Former SEC-registered adviserCRD 167902SEC 801-79959IAPD
Legal name E•••• J••• C••••••
Latest filing Mar 9, 2021
First filing on the tape Jun 16, 2014 · 12 filings
SEC status approved since Jul 31, 2014
RAUM
$1.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.0M as of Mar 9, 2021
Mar 24, 2015$1.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 9, 2021
Mar 24, 20150 then
Employees (5.A)2 as of Mar 9, 2021
Mar 24, 20152 then
Private funds: no history
RAUM +12% over the last fiscal year-4.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 9, 2021; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
$56,294derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-5.3%derived
Compensation
performance-basedreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$1.0M100%
Individual clients
18reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
18reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• E••••• J••• · Sole Proprietorcontrol
        since 05/2013 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 18
        Jun 29, 2020 to Mar 9, 2021
      • Individual clients · 19 to 18
        Jun 29, 2020 to Mar 9, 2021
      • Discretionary RAUM · $905,610 to $1.0M
        Jun 29, 2020 to Mar 9, 2021
      • Individual RAUM · $905,610 to $1.0M
        Jun 29, 2020 to Mar 9, 2021
      • RAUM · $905,610 to $1.0M
        Jun 29, 2020 to Mar 9, 2021
      • Accounts · 20 to 19
        Mar 29, 2019 to Jun 29, 2020
      • Individual clients · 20 to 19
        Mar 29, 2019 to Jun 29, 2020
      • Commission compensation · true to false
        Mar 29, 2019 to Jun 29, 2020
      • Other offices · 1 to 0
        Mar 29, 2019 to Jun 29, 2020
      • Discretionary RAUM · $902,643 to $905,610
        Mar 29, 2019 to Jun 29, 2020
      • Individual RAUM · $902,643 to $905,610
        Mar 29, 2019 to Jun 29, 2020
      • RAUM · $902,643 to $905,610
        Mar 29, 2019 to Jun 29, 2020
      • Discretionary RAUM · $1.2M to $902,643
        May 30, 2018 to Mar 29, 2019
      • Individual RAUM · $1.2M to $902,643
        May 30, 2018 to Mar 29, 2019
      • RAUM · $1.2M to $902,643
        May 30, 2018 to Mar 29, 2019
      • Accounts · 19 to 20
        Nov 29, 2017 to May 30, 2018
      • Charity clients · unset to 0.0
        Nov 29, 2017 to May 30, 2018
      • Corporate clients · unset to 0.0
        Nov 29, 2017 to May 30, 2018
      • HNW clients · unset to 0.0
        Nov 29, 2017 to May 30, 2018
      • Individual clients · 19 to 20
        Nov 29, 2017 to May 30, 2018
      • Pension plan clients · unset to 0.0
        Nov 29, 2017 to May 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Nov 29, 2017 to May 30, 2018
      • Discretionary RAUM · $1.6M to $1.2M
        Nov 29, 2017 to May 30, 2018
      • Individual RAUM · $1.6M to $1.2M
        Nov 29, 2017 to May 30, 2018
      • RAUM · $1.6M to $1.2M
        Nov 29, 2017 to May 30, 2018
      • Accounts · 22 to 19
        Mar 29, 2016 to Nov 29, 2017
      • Individual clients · unset to 19.0
        Mar 29, 2016 to Nov 29, 2017
      • Other offices · unset to 1.0
        Mar 29, 2016 to Nov 29, 2017
      • Discretionary RAUM · $2.2M to $1.6M
        Mar 29, 2016 to Nov 29, 2017
      • Individual RAUM · unset to 1551031.0
        Mar 29, 2016 to Nov 29, 2017
      • RAUM · $2.2M to $1.6M
        Mar 29, 2016 to Nov 29, 2017
      • Accounts · 18 to 22
        Mar 24, 2015 to Mar 29, 2016
      • Financial planning clients · unset to 11-25
        Mar 24, 2015 to Mar 29, 2016
      • Discretionary RAUM · $1.1M to $2.2M
        Mar 24, 2015 to Mar 29, 2016
      • RAUM · $1.1M to $2.2M
        Mar 24, 2015 to Mar 29, 2016
      • Accounts · 15 to 18
        Nov 18, 2014 to Mar 24, 2015
      • Employees · 1 to 2
        Nov 18, 2014 to Mar 24, 2015
      • Legal name · C••••••• E•••• J• to E•••• J••• C••••••
        Sep 25, 2014 to Nov 18, 2014
      • Accounts · 14 to 15
        Jun 16, 2014 to Sep 23, 2014
      • Discretionary RAUM · $550,000 to $1.1M
        Jun 16, 2014 to Sep 23, 2014
      Signals
      2 dated events
      • C••••••• E•••• J• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $1.0M)
        Jun 2, 2025 · Left the SEC roster · derived
      • C••••••• E•••• J• filed its initial SEC registration (Form ADV)
        Jun 16, 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