DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E••••• L••
Latest filing Mar 3, 2026
First filing on the tape Jun 14, 2013 · 18 filings
SEC status approved since Jul 5, 2013
RAUM
$889M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$889M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$889M
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
18 filings and snapshots on the tape
RAUM$889M as of Mar 3, 2026
Mar 25, 2014$398M then
HNW client RAUM$889M as of Mar 3, 2026
Mar 29, 2018$291M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 25, 20140 then
Employees (5.A)1 as of Mar 3, 2026
Mar 25, 20141 then
Private funds: no history
RAUM +11% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $889MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.4MderivedHNW RAUM over HNW clients
- Average account
- $5.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%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, fixed feesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$889M100%
- Individual clients
- n/areported
- HNW clients
- 51reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 159reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• G••••• O•••• | The Woodlands, Tx | Jul 5, 2013 | 13 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• O••••• J••••• · Managing Member, Ccocontrolsince 01/2013 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 3, 2026HNW RAUM per HNW client of $17,431,373 against a peer median of $3,134,900 (1404 comparable advisers, 99.0th percentile, 9.4 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 158 to 159Mar 20, 2025 to Mar 3, 2026
- HNW clients · 50 to 51Mar 20, 2025 to Mar 3, 2026
- Discretionary RAUM · $804M to $889MMar 20, 2025 to Mar 3, 2026
- HNW RAUM · $804M to $889MMar 20, 2025 to Mar 3, 2026
- RAUM · $804M to $889MMar 20, 2025 to Mar 3, 2026
- Accounts · 46 to 158Apr 1, 2024 to Mar 20, 2025
- HNW clients · 46 to 50Apr 1, 2024 to Mar 20, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 20, 2025
- Discretionary RAUM · $721M to $804MApr 1, 2024 to Mar 20, 2025
- HNW RAUM · $721M to $804MApr 1, 2024 to Mar 20, 2025
- RAUM · $721M to $804MApr 1, 2024 to Mar 20, 2025
- Accounts · 119 to 46Mar 25, 2023 to Mar 25, 2024
- HNW clients · 44 to 46Mar 25, 2023 to Mar 25, 2024
- Discretionary RAUM · $580M to $721MMar 25, 2023 to Mar 25, 2024
- HNW RAUM · $580M to $721MMar 25, 2023 to Mar 25, 2024
- RAUM · $580M to $721MMar 25, 2023 to Mar 25, 2024
- Accounts · 104 to 119Mar 24, 2022 to Mar 25, 2023
- HNW clients · 40 to 44Mar 24, 2022 to Mar 25, 2023
- Discretionary RAUM · $619M to $580MMar 24, 2022 to Mar 25, 2023
- HNW RAUM · $619M to $580MMar 24, 2022 to Mar 25, 2023
- RAUM · $619M to $580MMar 24, 2022 to Mar 25, 2023
- Accounts · 95 to 104Mar 23, 2021 to Mar 24, 2022
- HNW clients · 38 to 40Mar 23, 2021 to Mar 24, 2022
- Discretionary RAUM · $513M to $619MMar 23, 2021 to Mar 24, 2022
- HNW RAUM · $513M to $619MMar 23, 2021 to Mar 24, 2022
- RAUM · $513M to $619MMar 23, 2021 to Mar 24, 2022
- Accounts · 38 to 95Jun 25, 2020 to Mar 23, 2021
- Discretionary RAUM · $479M to $513MJun 25, 2020 to Mar 23, 2021
- HNW RAUM · $479M to $513MJun 25, 2020 to Mar 23, 2021
- RAUM · $479M to $513MJun 25, 2020 to Mar 23, 2021
- Accounts · 22 to 38Apr 1, 2019 to Mar 28, 2020
- HNW clients · 22 to 38Apr 1, 2019 to Mar 28, 2020
- Other offices · 1 to 0Apr 1, 2019 to Mar 28, 2020
- Discretionary RAUM · $264M to $479MApr 1, 2019 to Mar 28, 2020
- HNW RAUM · $264M to $479MApr 1, 2019 to Mar 28, 2020
- RAUM · $264M to $479MApr 1, 2019 to Mar 28, 2020
- Accounts · 48 to 22Mar 29, 2018 to Apr 1, 2019
- HNW clients · 23 to 22Mar 29, 2018 to Apr 1, 2019
- State-registered IARs · 0 to 1Mar 29, 2018 to Apr 1, 2019
- Discretionary RAUM · $291M to $264MMar 29, 2018 to Apr 1, 2019
Signals
2 dated events
- E••••• L•• reported RAUM $478.8M, up 81% from $264.2M (2019-04-01 to 2020-03-28)Mar 28, 2020 · RAUM change · derived
- E••••• L•• filed its initial SEC registration (Form ADV)Jun 14, 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
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $889Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026