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•• A•••••••••
Legal name D•• A•••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Nov 20, 2013 · 27 filings
SEC status approved since Aug 26, 2014
RAUM
$324M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$324M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$108M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$324M as of Mar 25, 2026
Mar 28, 2014$0 then
HNW client RAUM$324M as of Mar 25, 2026
Mar 23, 2018$166M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 28, 20144 then
Employees (5.A)3 as of Mar 25, 2026
Mar 28, 20144 then
Private funds: no history
RAUM +8.0% over the last fiscal year+5.2% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $108MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%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
- financial planning, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$324M100%
- Individual clients
- n/areported
- HNW clients
- 48reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 267reported
- Financial planning clients
- 251-500reported
- 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=1.0derived
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
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
- H••••••• T••••• A• · Chief Compliance Officercontrolsince 10/2013 · owns less than 5%
- H•••• H•••••• M••• · Membercontrolsince 10/2013 · owns 25% to 50%
- M•••••• H•••••• S•••• · Membercontrolsince 10/2013 · owns 25% to 50%
- Z•••••••• D•••••• L• · Membercontrolsince 10/2013 · owns 50% to 75%
Related persons
Schedule D 7.A
- A••••• W•••••investment adviseryRAUM $539M
Advisers that list E•• A••••••••• as a related person
- 112973 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Princeton, Nj · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- East Hanover, NJ3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 25, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 294 to 267Mar 31, 2025 to Mar 25, 2026
- HNW clients · 54 to 48Mar 31, 2025 to Mar 25, 2026
- HNW RAUM · $300M to $324MMar 31, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $300M to $324MMar 31, 2025 to Mar 25, 2026
- RAUM · $300M to $324MMar 31, 2025 to Mar 25, 2026
- Accounts · 283 to 294Mar 27, 2024 to Mar 31, 2025
- HNW clients · 48 to 54Mar 27, 2024 to Mar 31, 2025
- Financial planning clients · 251-500 to 251-500Mar 27, 2024 to Mar 31, 2025
- HNW RAUM · $255M to $300MMar 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $255M to $300MMar 27, 2024 to Mar 31, 2025
- RAUM · $255M to $300MMar 27, 2024 to Mar 31, 2025
- Accounts · 495 to 283Oct 12, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Oct 12, 2023 to Mar 27, 2024
- HNW clients · 46 to 48Oct 12, 2023 to Mar 27, 2024
- Assets in custody · 218328488.0 to unsetOct 12, 2023 to Mar 27, 2024
- Custody of client assets · true to falseOct 12, 2023 to Mar 27, 2024
- Employees · 5 to 3Oct 12, 2023 to Mar 27, 2024
- Financial planning clients · 101-250 to 251-500Oct 12, 2023 to Mar 27, 2024
- State-registered IARs · 4 to 3Oct 12, 2023 to Mar 27, 2024
- HNW RAUM · $279M to $255MOct 12, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $279M to $255MOct 12, 2023 to Mar 27, 2024
- RAUM · $279M to $255MOct 12, 2023 to Mar 27, 2024
- Accounts · 256 to 495Mar 30, 2022 to Mar 29, 2023
- HNW clients · 41 to 46Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $234M to $0Mar 30, 2022 to Mar 29, 2023
- HNW RAUM · $234M to $279MMar 30, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $0 to $279MMar 30, 2022 to Mar 29, 2023
- RAUM · $234M to $279MMar 30, 2022 to Mar 29, 2023
- Accounts · 266 to 256Mar 26, 2021 to Mar 30, 2022
- HNW clients · 40 to 41Mar 26, 2021 to Mar 30, 2022
- Discretionary RAUM · $0 to $234MMar 26, 2021 to Mar 30, 2022
- HNW RAUM · $218M to $234MMar 26, 2021 to Mar 30, 2022
- Non-discretionary RAUM · $218M to $0Mar 26, 2021 to Mar 30, 2022
- RAUM · $218M to $234MMar 26, 2021 to Mar 30, 2022
- Accounts · 263 to 266Jun 26, 2020 to Mar 26, 2021
- Advisory employees · 3 to 4Jun 26, 2020 to Mar 26, 2021
- HNW clients · 38 to 40Jun 26, 2020 to Mar 26, 2021
- Assets in custody · $300M to $218MJun 26, 2020 to Mar 26, 2021
- Employees · 4 to 5Jun 26, 2020 to Mar 26, 2021
- State-registered IARs · 3 to 4Jun 26, 2020 to Mar 26, 2021
Signals
2 dated events
- E•• A••••••••• reported RAUM $300.4M, up 84% from $163.1M (2019-03-27 to 2020-02-03)Feb 3, 2020 · RAUM change · derived
- D•• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 20, 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
- Business phone
- 609-921-1016reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 609-921-2681reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/eks-associatesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- EKSASSOCIATES.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 6099211016reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- eksassociates.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- eksassociates.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $108Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026