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••••••• W••••• A•••••••• L••
Latest filing Jan 27, 2026
First filing on the tape Nov 5, 2015 · 29 filings
SEC status approved since Nov 16, 2015
RAUM
$249M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$249M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.3M
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
29 filings and snapshots on the tape
RAUM$249M as of Jan 27, 2026
Mar 7, 2016$49.0M then
HNW client RAUM$145M as of Jan 27, 2026
Jan 11, 2018$19.0M then
State-registered IARs (5.B.3)3 as of Jan 27, 2026
Mar 7, 20161 then
Employees (5.A)3 as of Jan 27, 2026
Mar 7, 20161 then
Private funds: no history
RAUM +23% over the last fiscal year+20% a year over threeIARs 5 to 3
Practice profile
derived from the filing of Jan 27, 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
- $62.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 93derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $258,645derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -40%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$145M58%
- Individuals$104M42%
- Individual clients
- 296reported
- HNW clients
- 74reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 963reported
- Financial planning clients
- 26-50reported
- 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=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• J••• E•••••••Certified Financial Planner | Williamsville, Ny | Apr 8, 2021 | 29 y | 1 |
| C•••••• E•••• H••••Certified Financial Planner | Williamsville, Ny | Apr 8, 2021 | 28 y | 2 |
| A••••• K••••• | Williamsville, Ny | Aug 16, 2021 | 20 y | 2 |
| J••••• D••••• W••••• | Williamsville, Ny | Jul 31, 2023 | 16 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
- J••••• D••••• W••••• from W•••• F•••• A•••••••Jul 31, 2023 · Wirehouse to independent RIA
- A••••• K••••• from L•••••• I•••••••••Aug 16, 2021 · Affiliated broker-dealer or bank to independent RIA
- N••••••• J••• E••••••• from A••••••• P••••••••• A•••••••• I••Apr 8, 2021 · Other
- C•••••• E•••• H•••• from A••••••• P••••••••• A•••••••• I••Jan 5, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from A••••••• P••••••••• A•••••••• I••Dec 31, 2015 · Holbrook, Ny
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E•••••••• N•••••••• J••• · Chief Compliance Officercontrolsince 02/2015 · owns less than 5%
- E•••••••• N•••••••• J••• · Membercontrolsince 01/2023 · owns 75% or more of N••••••• E••••••• I••
- H••••• C••••••• E•••• · Membercontrolsince 01/2023 · owns 75% or more of C•••••• H•••• A•••••••• L••
Entity owners
- C•••••• H•••• A•••••••• L•• · Memberdirect · owns 50% to 75%
- N••••••• E••••••• I•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E••••••• W••••• A•••••••• L•• as a related person
- 38751 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Williamsville, Ny · principal | 4 | 0 | 0 | ||
| Franklin, Tn | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Woodland Hills, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count dropChange between filings · filing Jan 27, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-04-15 and 2026-01-27; the peer median change was 0.0% (965 comparable advisers, 3.0th percentile of changes)peers: independent wealth managers, $100M to $500M (965) · 2.6% percentile
What changed
consecutive filings, newest first
- Accounts · 925 to 963Dec 16, 2025 to Jan 27, 2026
- HNW clients · 73 to 74Dec 16, 2025 to Jan 27, 2026
- Financial planning clients · 1-10 to 26-50Dec 16, 2025 to Jan 27, 2026
- Discretionary RAUM · $241M to $249MDec 16, 2025 to Jan 27, 2026
- HNW RAUM · $150M to $145MDec 16, 2025 to Jan 27, 2026
- Individual RAUM · $90.8M to $104MDec 16, 2025 to Jan 27, 2026
- RAUM · $241M to $249MDec 16, 2025 to Jan 27, 2026
- Accounts · 901 to 925Jun 4, 2025 to Dec 16, 2025
- Advisory employees · 4 to 3Jun 4, 2025 to Dec 16, 2025
- BD registered reps · 2 to 0Jun 4, 2025 to Dec 16, 2025
- HNW clients · 70 to 73Jun 4, 2025 to Dec 16, 2025
- Individual clients · 311 to 296Jun 4, 2025 to Dec 16, 2025
- Employees · 4 to 3Jun 4, 2025 to Dec 16, 2025
- State-registered IARs · 4 to 3Jun 4, 2025 to Dec 16, 2025
- Discretionary RAUM · $203M to $241MJun 4, 2025 to Dec 16, 2025
- HNW RAUM · $103M to $150MJun 4, 2025 to Dec 16, 2025
- Individual RAUM · $100M to $90.8MJun 4, 2025 to Dec 16, 2025
- RAUM · $203M to $241MJun 4, 2025 to Dec 16, 2025
- Advisory employees · 5 to 4Apr 15, 2025 to Jun 4, 2025
- Employees · 5 to 4Apr 15, 2025 to Jun 4, 2025
- Financial planning clients · 1-10 to 1-10Apr 15, 2025 to Jun 4, 2025
- State-registered IARs · 5 to 4Apr 15, 2025 to Jun 4, 2025
- Advisory employees · 6 to 5Jan 9, 2025 to Apr 15, 2025
- BD registered reps · 3 to 2Jan 9, 2025 to Apr 15, 2025
- Employees · 6 to 5Jan 9, 2025 to Apr 15, 2025
- Insurance-licensed employees · 1 to 0Jan 9, 2025 to Apr 15, 2025
- State-registered IARs · 6 to 5Jan 9, 2025 to Apr 15, 2025
- Accounts · 888 to 901Jan 24, 2024 to Jan 9, 2025
- HNW clients · 58 to 70Jan 24, 2024 to Jan 9, 2025
- Individual clients · 277 to 311Jan 24, 2024 to Jan 9, 2025
- Financial planning clients · 11-25 to 1-10Jan 24, 2024 to Jan 9, 2025
- Discretionary RAUM · $171M to $203MJan 24, 2024 to Jan 9, 2025
- HNW RAUM · $78.7M to $103MJan 24, 2024 to Jan 9, 2025
- Individual RAUM · $92.2M to $100MJan 24, 2024 to Jan 9, 2025
- RAUM · $171M to $203MJan 24, 2024 to Jan 9, 2025
- Accounts · 824 to 888Jul 31, 2023 to Jan 24, 2024
- HNW clients · 37 to 58Jul 31, 2023 to Jan 24, 2024
- Individual clients · 291 to 277Jul 31, 2023 to Jan 24, 2024
- Financial planning clients · 1-10 to 11-25Jul 31, 2023 to Jan 24, 2024
- Discretionary RAUM · $143M to $171MJul 31, 2023 to Jan 24, 2024
Signals
2 dated events
- Carrie Ann Fahey no longer registered at E••••••• W••••• A•••••••• L••; no later IA registration on IAPDApr 15, 2025 · Advisor departure · fact
- C••••••••• F•••••••• P••••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2015 · 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
- 615-656-0656reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-828-8390reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 716-828-8395reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- emergentwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 716-828-8390reportedpublic record, Form ADV, Jan 27, 2026
- Contact form
- emergentwa.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- emergentwa.com/partnersreportedpublished 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
- $62.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026