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•••••• D••••• L•••••• A•••••••• L••

Former SEC-registered adviserLeola, PennsylvaniaCRD 168608SEC 801-78464IAPD
Latest filing Mar 2, 2020
First filing on the tape Aug 14, 2013 · 15 filings
RAUM
$638,940
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$638,940 gross assets
History
15 filings and snapshots on the tape
RAUM$638,940 as of Mar 2, 2020
Dec 24, 2013$4.7M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 2, 2020
Dec 24, 20130 then
Employees (5.A)6 as of Mar 2, 2020
Dec 24, 201310 then
Private funds1 as of Mar 2, 2020
Dec 24, 20131 then
RAUM -79% over the last fiscal year-72% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 2, 2020; 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
$638,940derivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-79%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Custody
$638,940, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$638,940100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$638,940 for 1 clientsreported
Compensation
% of AUMreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•••••• D••••• L•••••• I••••••••• S••••• F•••• L•no longer reportedOther Private Fund$3.2M10Dec 28, 2015
      E•••••• D••••• L•••••• I••••••••• O••••••• F•••• L•••no longer reportedOther Private Fund$814,9202Dec 28, 2015
      E•••••• D••••• L•••••• F••• I• L•Other Private Fund$638,94016Aug 14, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J•••••• E••••• · Presidentcontrol
        since 07/2013 · owns less than 5%
      • M••••• D•••••• W•••••• · Executive Vice Presidentcontrol
        since 07/2013 · owns less than 5%
      • R•••• S••••• L•••••• · Chief Compliance Officercontrol
        since 07/2013 · owns less than 5%
      • B•••••••• J•••••• E••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • B••••••• C••••••• A••••• · Member/Managercontrol
        since 06/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      • H•••••• J•••• T••••• · Member/Managercontrol
        since 01/2018 · owns 50% to 75% of 1••• C•••••• G•••• H•••••••• L••
      • M••••••• C••••••••• J•••• · Membercontrol
        since 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      • M••••• D•••••• W•••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • W•••• P•••• W•••••• · Trusteecontrol
        since 09/2012 · owns F of E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T••••
      • W•••••• M••••••• A••••• R••• · Membercontrol
        since 07/2016 · owns F of 1••• C•••••• G•••• H•••••••• L••
      Entity owners
      • E•••••• D••••• L•••••• C••••••• L•• · Parent Company
        direct · owns 75% or more
      • 1••• A•••• M••••••••• P••••• L•• · Member
        indirect · owns 75% or more of 1••• A•••• M••••••••• P•••••••• L••
      • 1••• A•••• M••••••••• P•••••••• L•• · Member
        indirect · owns 50% to 75% of E•••••• A•••• M••••••••• P•• L••
      • 1••• C•••••• G•••• H•••••••• L•• · Shareholder
        indirect · owns F of 1••• C•••••• G••••• I•••
      • 1••• C•••••• G••••• I••• · Managing Member
        indirect · owns 75% or more of 1••• F•••••••• C••••••• L••
      • 1••• F•••••••• C••••••• L•• · Member
        indirect · owns 75% or more of 1••• A•••• M••••••••• P••••• L••
      • E•••••• A•••• M••••••••• E••••••• S•••• O•••••••• T•••• · Shareholder
        indirect · owns 75% or more of E•••••• A•••• M••••••••• I•••
      • E•••••• A•••• M••••••••• P•• L•• · Member
        indirect · owns 75% or more of E•••••• S••••••• A•••••• M••••••••• L••
      • E•••••• A•••• M••••••••• I••• · Shareholder
        indirect · owns 25% to 50% of E•••••• A•••• M••••••••• P•• L••
      • E•••••• S••••••• A•••••• M••••••••• L•• · Member
        indirect · owns 75% or more of E•••••• D••••• L•••••• C••••••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Solon, OH1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $593,430 to $638,940
        Jan 2, 2020 to Mar 2, 2020
      • Discretionary RAUM · $593,430 to $638,940
        Jan 2, 2020 to Mar 2, 2020
      • Pooled vehicle RAUM · $593,430 to $638,940
        Jan 2, 2020 to Mar 2, 2020
      • RAUM · $593,430 to $638,940
        Jan 2, 2020 to Mar 2, 2020
      • Assets in custody · $3.0M to $593,430
        Oct 31, 2018 to Jan 2, 2020
      • Discretionary RAUM · $3.0M to $593,430
        Oct 31, 2018 to Jan 2, 2020
      • Pooled vehicle RAUM · $3.0M to $593,430
        Oct 31, 2018 to Jan 2, 2020
      • RAUM · $3.0M to $593,430
        Oct 31, 2018 to Jan 2, 2020
      • Assets in custody · $5.1M to $3.0M
        May 31, 2018 to Oct 31, 2018
      • Financial planning clients · unset to 1-10
        May 31, 2018 to Oct 31, 2018
      • Discretionary RAUM · $5.1M to $3.0M
        May 31, 2018 to Oct 31, 2018
      • Pooled vehicle RAUM · $5.1M to $3.0M
        May 31, 2018 to Oct 31, 2018
      • RAUM · $5.1M to $3.0M
        May 31, 2018 to Oct 31, 2018
      • Accounts · 3 to 1
        Dec 23, 2017 to May 31, 2018
      • Pooled vehicle clients · 3 to 1
        Dec 23, 2017 to May 31, 2018
      • Assets in custody · $11.2M to $5.1M
        Dec 23, 2017 to May 31, 2018
      • Private funds · 3 to 1
        Dec 23, 2017 to May 31, 2018
      • Discretionary RAUM · $11.2M to $5.1M
        Dec 23, 2017 to May 31, 2018
      • Pooled vehicle RAUM · $11.2M to $5.1M
        Dec 23, 2017 to May 31, 2018
      • RAUM · $11.2M to $5.1M
        Dec 23, 2017 to May 31, 2018
      • Advisory employees · 4 to 3
        Mar 30, 2017 to Dec 23, 2017
      • Advisory activities · 3 to 1
        Mar 30, 2017 to Dec 23, 2017
      • BD registered reps · 2 to 1
        Mar 30, 2017 to Dec 23, 2017
      • Charity clients · unset to 0.0
        Mar 30, 2017 to Dec 23, 2017
      • Corporate clients · unset to 0.0
        Mar 30, 2017 to Dec 23, 2017
      • HNW clients · unset to 0.0
        Mar 30, 2017 to Dec 23, 2017
      • Individual clients · unset to 0.0
        Mar 30, 2017 to Dec 23, 2017
      • Pension plan clients · unset to 0.0
        Mar 30, 2017 to Dec 23, 2017
      • Pooled vehicle clients · unset to 3.0
        Mar 30, 2017 to Dec 23, 2017
      • Assets in custody · $15.5M to $11.2M
        Mar 30, 2017 to Dec 23, 2017
      • Employees · 7 to 6
        Mar 30, 2017 to Dec 23, 2017
      • Other offices · unset to 1.0
        Mar 30, 2017 to Dec 23, 2017
      • Discretionary RAUM · $15.5M to $11.2M
        Mar 30, 2017 to Dec 23, 2017
      • Pooled vehicle RAUM · unset to 11243032.0
        Mar 30, 2017 to Dec 23, 2017
      • RAUM · $15.5M to $11.2M
        Mar 30, 2017 to Dec 23, 2017
      • Accounts · 4 to 3
        Dec 22, 2016 to Mar 30, 2017
      • Assets in custody · $18.5M to $15.5M
        Dec 22, 2016 to Mar 30, 2017
      • Employees · 8 to 7
        Dec 22, 2016 to Mar 30, 2017
      • Discretionary RAUM · $29.7M to $15.5M
        Dec 22, 2016 to Mar 30, 2017
      • RAUM · $29.7M to $15.5M
        Dec 22, 2016 to Mar 30, 2017
      Signals
      1 dated events
      • E•••••• D••••• L•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 14, 2013 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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