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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E•••• C•••••• A•••••••• L••
Latest filing Sep 1, 2026
First filing on the tape Jun 15, 2026 · 3 filings
SEC status approved since Jun 5, 2026
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$111M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$103M as of Jul 2, 2026
Jun 15, 2026$103M then
HNW client RAUM$71.0M as of Jul 2, 2026
Jun 15, 2026$71.0M then
State-registered IARs (5.B.3)2 as of Jul 2, 2026
Jun 15, 20262 then
Employees (5.A)2 as of Jul 2, 2026
Jun 15, 20262 then
Private funds: no history
Practice profile
derived from the filing of Sep 1, 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
- 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
- $58.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 35derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $673,082derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.8M70%
- Individuals$29.6M25%
- Pension and profit-sharing plans$5.0M4.3%
- Individual clients
- 52reported
- HNW clients
- 18reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 173reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd= related_bank= 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
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
- P•••••• M••••••• R•••• · Member/Managercontrolsince 11/2014 · 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 · 169 to 173Jul 2, 2026 to Sep 1, 2026
- HNW clients · 17 to 18Jul 2, 2026 to Sep 1, 2026
- Individual clients · 50 to 52Jul 2, 2026 to Sep 1, 2026
- Financial planning clients · 0 to 0Jul 2, 2026 to Sep 1, 2026
- Discretionary RAUM · $103M to $116MJul 2, 2026 to Sep 1, 2026
- HNW RAUM · $71.0M to $81.8MJul 2, 2026 to Sep 1, 2026
- Individual RAUM · $27.3M to $29.6MJul 2, 2026 to Sep 1, 2026
- Pension RAUM · $4.7M to $5.0MJul 2, 2026 to Sep 1, 2026
- RAUM · $103M to $116MJul 2, 2026 to Sep 1, 2026
- Related adviser · false to unsetJul 2, 2026 to Sep 1, 2026
- Related bank · false to unsetJul 2, 2026 to Sep 1, 2026
- Related broker-dealer · false to unsetJul 2, 2026 to Sep 1, 2026
- Related insurance company · false to unsetJul 2, 2026 to Sep 1, 2026
- Succession · false to unsetJul 2, 2026 to Sep 1, 2026
Signals
No event on the tape.
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 email
- s••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-574-0069reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••CAPITALADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203 574 0069reportedpublic record, Form ADV, Sep 1, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026