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
M••••• C•••••• A•••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Jul 22, 2014 · 15 filings
SEC status approved since Aug 5, 2014
RAUM
$35.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$35.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$35.5M
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
15 filings and snapshots on the tape
RAUM$35.5M as of Feb 10, 2026
Apr 3, 2015$43.0M then
HNW client RAUM$30.5M as of Feb 10, 2026
Mar 30, 2018$55.9M then
State-registered IARs (5.B.3)1 as of Feb 10, 2026
Apr 3, 20150 then
Employees (5.A)1 as of Feb 10, 2026
Apr 3, 20151 then
Private funds: no history
RAUM -22% over the last fiscal year-10% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 10, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $35.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $725,286derivedRAUM 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
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +38%derived
- Compensation
- percentage of assetsreportedItem 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$30.5M86%
- Individuals$5.0M14%
- Individual clients
- 23reported
- HNW clients
- 13reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 49reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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 |
|---|---|---|---|---|
| L•••••• C•••••• E•••• | New York, Ny | Nov 3, 2021 | 27 y | 1 |
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
- L•••••• C•••••• E•••• from S•••••• A•••••• C•••••• M••••••••• L••Nov 3, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• L••••••• C•••••• · Managing Member And Chief Compliance Officercontrolsince 07/2014 · 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.
What changed
consecutive filings, newest first
- Accounts · 48 to 49Mar 7, 2025 to Feb 10, 2026
- HNW clients · 11 to 13Mar 7, 2025 to Feb 10, 2026
- Individual clients · 15 to 23Mar 7, 2025 to Feb 10, 2026
- Pension plan clients · unset to 0.0Mar 7, 2025 to Feb 10, 2026
- Discretionary RAUM · $45.3M to $35.5MMar 7, 2025 to Feb 10, 2026
- HNW RAUM · $35.3M to $30.5MMar 7, 2025 to Feb 10, 2026
- Individual RAUM · $4.6M to $5.0MMar 7, 2025 to Feb 10, 2026
- Pension RAUM · $5.4M to $0Mar 7, 2025 to Feb 10, 2026
- RAUM · $45.3M to $35.5MMar 7, 2025 to Feb 10, 2026
- Accounts · 58 to 48Apr 18, 2024 to Mar 7, 2025
- Individual clients · 43 to 15Apr 18, 2024 to Mar 7, 2025
- Financial planning clients · unset to Apr 18, 2024 to Mar 7, 2025
- HQ city · unset to Apr 18, 2024 to Mar 7, 2025
- HQ state · unset to Apr 18, 2024 to Mar 7, 2025
- Discretionary RAUM · $41.0M to $45.3MApr 18, 2024 to Mar 7, 2025
- HNW RAUM · $31.2M to $35.3MApr 18, 2024 to Mar 7, 2025
- Individual RAUM · $5.4M to $4.6MApr 18, 2024 to Mar 7, 2025
- Pension RAUM · $4.5M to $5.4MApr 18, 2024 to Mar 7, 2025
- RAUM · $41.0M to $45.3MApr 18, 2024 to Mar 7, 2025
- Accounts · 56 to 58Mar 27, 2023 to Mar 20, 2024
- HNW clients · 15 to 11Mar 27, 2023 to Mar 20, 2024
- Individual clients · 22 to 43Mar 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $48.8M to $41.0MMar 27, 2023 to Mar 20, 2024
- HNW RAUM · $41.9M to $31.2MMar 27, 2023 to Mar 20, 2024
- Individual RAUM · $2.6M to $5.4MMar 27, 2023 to Mar 20, 2024
- Pension RAUM · $4.3M to $4.5MMar 27, 2023 to Mar 20, 2024
- RAUM · $48.8M to $41.0MMar 27, 2023 to Mar 20, 2024
- Accounts · 64 to 56Mar 9, 2022 to Mar 27, 2023
- HNW clients · 13 to 15Mar 9, 2022 to Mar 27, 2023
- Individual clients · 23 to 22Mar 9, 2022 to Mar 27, 2023
- Pension plan clients · 1.0 to unsetMar 9, 2022 to Mar 27, 2023
- Discretionary RAUM · $77.3M to $48.8MMar 9, 2022 to Mar 27, 2023
- HNW RAUM · $68.8M to $41.9MMar 9, 2022 to Mar 27, 2023
- Individual RAUM · $3.3M to $2.6MMar 9, 2022 to Mar 27, 2023
- Pension RAUM · $5.2M to $4.3MMar 9, 2022 to Mar 27, 2023
- RAUM · $77.3M to $48.8MMar 9, 2022 to Mar 27, 2023
- Accounts · 50 to 64Mar 9, 2021 to Mar 9, 2022
- HNW clients · 18 to 13Mar 9, 2021 to Mar 9, 2022
- Individual clients · 19 to 23Mar 9, 2021 to Mar 9, 2022
- Pension plan clients · 5 to 1Mar 9, 2021 to Mar 9, 2022
Signals
1 dated events
- M••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 22, 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
- Principal office phone
- (212) 367-7239reportedpublic record, Form ADV, Feb 10, 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
- $35.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026