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•• M•••• S••••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Dec 18, 2014 · 30 filings
SEC status approved since Jan 2, 2015
RAUM
$18.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$12.8M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$1.6M
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$18.1M as of Aug 27, 2026
Apr 2, 2015$862,725 then
HNW client RAUM$5.9M as of Aug 27, 2026
Mar 29, 2018$2.6M then
State-registered IARs (5.B.3)10 as of Aug 27, 2026
Apr 2, 20154 then
Employees (5.A)14 as of Aug 27, 2026
Apr 2, 20157 then
Private funds: no history
RAUM +7.7% over the last fiscal year+13% a year over threeIARs 9 to 10
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 10derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $490,647derivedHNW RAUM over HNW clients
- Average account
- $82,344derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$6.9M38%
- High-net-worth individuals$5.9M33%
- Pension and profit-sharing plans$5.3M29%
- Individual clients
- 93reported
- HNW clients
- 12reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 220reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $12.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.29 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- S•••• D•••• F•••• to D••••• C•••••• M•••••••••Apr 18, 2018 · RIA to RIA
Joined, latest
- S•••• D•••• F•••• from D••••• C•••••• M•••••••••Feb 5, 2018 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• P••••••• N•• · Managing Member, Chief Investment Officercontrolsince 05/2013 · owns 10% to 25%
- R••••• R•••••• L•••• · Managing Member, Chief Compliance Officercontrolsince 05/2013 · owns 10% to 25%
- G•••• P•••• O••••• · Membercontrolsince 02/2000 · owns 75% or more of O••••• G••••• L••
- R•••• L••••• L•• · Trusteecontrolsince 12/2012 · owns 50% to 75% of L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T••••
- R•••• N••••• E••••• · Trusteecontrolsince 12/2012 · owns 50% to 75% of L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T••••
- S••••••••• R•••••• G••• · L•••••• Partnercontrolsince 12/2021 · owns 25% to 50% of S••••••••• F••••• L•••••• P••••••••• L•
- S••••••••• S••• E•••• · L•••••• Partnercontrolsince 12/2021 · owns 25% to 50% of S••••••••• F••••• L•••••• P••••••••• L•
- T••••• T•••• C•••••• · Membercontrolsince 11/2013 · owns 75% or more of 0•••• L••
- O•••• W••••• S••••••••• · Membersince 12/2015 · owns 5% to 10%
Entity owners
- 0•••• L•• · Memberdirect · owns 10% to 25%
- L•••• L• R••• A•• N•••• E• R••• J•••• R•••••••• L••••• T•••• · Memberdirect · owns 10% to 25%
- O••••• G••••• L•• · Memberdirect · owns 5% to 10%
- S••••••••• F••••• L•••••• P••••••••• L• · Shareholderdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- C••••••••• P••••••insurancen
- E•••••••• W••••• M••••••••• I•••investment adviserpooled vehicle sponsorLP sponsornRAUM $609M
- G••••• A••••••••• I••••••••• M••••••••• L••investment adviserpooled vehicle sponsorn
Advisers that list E•• M•••• S••••••••• L•• as a related person
- 108652 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Appleton, Wi · principal | 11 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 210 to 220Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 9 to 10Mar 31, 2025 to Mar 31, 2026
- HNW clients · 13 to 12Mar 31, 2025 to Mar 31, 2026
- Individual clients · 92 to 93Mar 31, 2025 to Mar 31, 2026
- Employees · 13 to 14Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 9 to 10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $16.8M to $18.1MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $5.2M to $5.9MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $5.8M to $6.9MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $5.9M to $5.3MMar 31, 2025 to Mar 31, 2026
- RAUM · $16.8M to $18.1MMar 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $11.0M to $12.8MMar 31, 2025 to Mar 31, 2026
- Accounts · 233 to 210Jan 29, 2025 to Mar 31, 2025
- Advisory employees · 8 to 9Jan 29, 2025 to Mar 31, 2025
- HNW clients · 11 to 13Jan 29, 2025 to Mar 31, 2025
- Individual clients · 103 to 92Jan 29, 2025 to Mar 31, 2025
- Pension plan clients · 3 to 2Jan 29, 2025 to Mar 31, 2025
- Employees · 12 to 13Jan 29, 2025 to Mar 31, 2025
- Insurance-licensed employees · 8 to 9Jan 29, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 29, 2025 to Mar 31, 2025
- State-registered IARs · 8 to 9Jan 29, 2025 to Mar 31, 2025
- Discretionary RAUM · $15.7M to $16.8MJan 29, 2025 to Mar 31, 2025
- HNW RAUM · $3.8M to $5.2MJan 29, 2025 to Mar 31, 2025
- Individual RAUM · $6.7M to $5.8MJan 29, 2025 to Mar 31, 2025
- Pension RAUM · $5.3M to $5.9MJan 29, 2025 to Mar 31, 2025
- RAUM · $15.7M to $16.8MJan 29, 2025 to Mar 31, 2025
- Wrap assets (manager) · $10.4M to $11.0MJan 29, 2025 to Mar 31, 2025
- Accounts · 194 to 233Jul 31, 2023 to Mar 15, 2024
- HNW clients · 9 to 11Jul 31, 2023 to Mar 15, 2024
- Individual clients · 88 to 103Jul 31, 2023 to Mar 15, 2024
- Discretionary RAUM · $12.4M to $15.7MJul 31, 2023 to Mar 15, 2024
- HNW RAUM · $3.2M to $3.8MJul 31, 2023 to Mar 15, 2024
- Individual RAUM · $5.0M to $6.7MJul 31, 2023 to Mar 15, 2024
- Pension RAUM · $4.2M to $5.3MJul 31, 2023 to Mar 15, 2024
- RAUM · $12.4M to $15.7MJul 31, 2023 to Mar 15, 2024
- Related insurance company · false to trueJul 31, 2023 to Mar 15, 2024
- Wrap assets (manager) · $8.2M to $10.4MJul 31, 2023 to Mar 15, 2024
- Accounts · 174 to 194Sep 2, 2022 to Feb 10, 2023
- Advisory employees · 6 to 8Sep 2, 2022 to Feb 10, 2023
- HNW clients · 5 to 9Sep 2, 2022 to Feb 10, 2023
Signals
2 dated events
- Edward Joseph Dagrosa (Trustee) no longer on Schedule A of E•• M•••• S••••••••• L•• (listed 2019-12-18, absent 2019-12-24)Dec 24, 2019 · Control person left · inference
- E•• M•••• S••••••••• L•• filed its initial SEC registration (Form ADV)Dec 18, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 920-785-6010reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/etf-model-solutionsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/embark-investreportedpublic record, Form ADV, Sep 18, 2026
- Website
- embark-invest.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 920-785-6010reportedpublic record, Form ADV, Aug 27, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026