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.

SEC-registered adviser

Egsi Investment Management

Independent wealth managerDublin, OhioCRD 171488SEC 801-136784websiteIAPD
Legal name Egsi Investment Management, Inc.
Latest filing Jul 30, 2026
First filing on the tape Jul 30, 2026 · 1 filings
SEC status approved since Jul 17, 2026
RAUM
$145M
reported, Item 5.F
Discretionary
71%
of RAUM
Private clients
70%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$48.2M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $145M
HNW client RAUM: $34.7M
State-registered IARs (5.B.3): 3
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of Jul 30, 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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$48.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$181,279derivedRAUM over accounts (5.F.2.f)
Discretionary
71%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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 individuals, pension consulting, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$66.9M46%
  • Pension and profit-sharing plans$42.6M29%
  • High-net-worth individuals$34.7M24%
  • Charitable organizations$377,2800.3%
  • State and municipal entities$191,8850.1%
Individual clients
230reported
HNW clients
16reported
Pension plan clients
29reported
Charitable clients
2reported
Accounts
798reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.7 fund_share=0.0 institutional_share=0.3 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Edward Gerard SiddellDublin, OhJul 11, 201424 y6
Ryan T. JohnstonDublin, OhJun 26, 202612 y0
Alexander David RyeDublin, OhJul 10, 202611 y0
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Gerard Edward Siddell · Ownercontrol
    since 04/2014 · owns 75% or more
  • Leanne Siddell · Chief Compliance Officer And Operational Manager
    since 01/2026 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Dublin, Oh · principal321
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
  • Luke David Gearhart left Egsi Investment Management for Everhart Advisors (registered 2025-11-20)
    Feb 27, 2026 · Advisor changed firm · 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
Firm profile
linkedin.com/company/egsi-financialreportedpublic record, Form ADV, Sep 17, 2026
Website
theretirementtrainer.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
614-526-4118reportedpublic record, Form ADV, Jul 30, 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
$48.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026