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••••••• C•••••• A••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Mar 27, 2024 · 5 filings
SEC status approved since Apr 26, 2024
RAUM
$271M
reported, Item 5.F
Discretionary
62%
of RAUM
Private clients
100%
$271M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$54.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$271M as of Mar 30, 2026
Mar 31, 2025$263M then
HNW client RAUM$265M as of Mar 30, 2026
Mar 31, 2025$249M then
State-registered IARs (5.B.3)4 as of Mar 30, 2026
Mar 31, 20253 then
Employees (5.A)5 as of Mar 30, 2026
Mar 31, 20254 then
Private funds: no history
RAUM +3.2% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 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
- RAUM per advisor
- $54.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 11derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.5MderivedHNW RAUM over HNW clients
- Average account
- $887,213derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 62%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
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -38%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $61.4M, 7 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$265M97%
- Individuals$6.9M2.5%
- Individual clients
- 24reported
- HNW clients
- 31reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 306reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $61.4M for 7 clientsreported
- 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
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• D••••• O•••••• | Winnetka, Il | Jun 11, 2015 | 14 y | 0 |
| F•••••• D•••• O•••••• | Winnetka, Il | Jan 3, 2017 | 38 y | 1 |
| W•••••• R•••••• A•••••••Chartered Financial Analyst | Winnetka, Il | Apr 4, 2017 | 27 y | 1 |
| W•••••• T••••• B••••••• | Winnetka, Il | Feb 25, 2026 | 10 y | 0 |
| J••• C• K••••• | Winnetka, Il | Apr 14, 2026 | 10 y | 0 |
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
- W•••••• R•••••• A••••••• from L•••••• F•••••••• S•••••••• I•••Apr 4, 2017 · Other
- F•••••• D•••• O•••••• from C•••••• S••••• • C••• I•••Jan 3, 2017 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••• J•••• D••••• · Managing Director/Chief Compliance Officercontrolsince 04/2015 · owns 75% or more
Related persons
Schedule D 7.A
- J••• D• O•••••••• J•n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Winnetka, Il · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 30, 2026HNW RAUM per HNW client of $8,535,527 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.1 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 38.0% to 62.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Mar 30, 2026hourly charges (Item 5.E.2): yes on the filing of 2026-01-15, no on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Mar 30, 2026selection of other advisers (Item 5.G.7): no on the filing of 2026-01-15, yes on the filing of 2026-03-30peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 269 to 306Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 3 to 4Jan 15, 2026 to Mar 30, 2026
- Advisory activities · 3 to 4Jan 15, 2026 to Mar 30, 2026
- HNW clients · 36 to 31Jan 15, 2026 to Mar 30, 2026
- Individual clients · 53 to 24Jan 15, 2026 to Mar 30, 2026
- Assets in custody · $24.4M to $61.4MJan 15, 2026 to Mar 30, 2026
- Employees · 4 to 5Jan 15, 2026 to Mar 30, 2026
- State-registered IARs · 3 to 4Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $99.0M to $168MJan 15, 2026 to Mar 30, 2026
- HNW RAUM · $249M to $265MJan 15, 2026 to Mar 30, 2026
- Individual RAUM · $14.2M to $6.9MJan 15, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $164M to $104MJan 15, 2026 to Mar 30, 2026
- RAUM · $263M to $271MJan 15, 2026 to Mar 30, 2026
- Accounts · 203 to 269Jun 24, 2024 to Mar 31, 2025
- Advisory activities · 5 to 3Jun 24, 2024 to Mar 31, 2025
- HNW clients · 18 to 36Jun 24, 2024 to Mar 31, 2025
- Individual clients · 27 to 53Jun 24, 2024 to Mar 31, 2025
- Assets in custody · $40.2M to $24.4MJun 24, 2024 to Mar 31, 2025
- Employees · 5 to 4Jun 24, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Jun 24, 2024 to Mar 31, 2025
- State-registered IARs · 5 to 3Jun 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $113M to $99.0MJun 24, 2024 to Mar 31, 2025
- HNW RAUM · $125M to $249MJun 24, 2024 to Mar 31, 2025
- Individual RAUM · $7.9M to $14.2MJun 24, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $19.8M to $164MJun 24, 2024 to Mar 31, 2025
- RAUM · $133M to $263MJun 24, 2024 to Mar 31, 2025
Signals
2 dated events
- E••••••• C•••••• A••••••• L•• reported RAUM $263.0M, up 98% from $132.5M (2024-06-24 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- E••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2024 · 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 email
- j•••••••@e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- r•••••@e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-690-4900reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-690-4901reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 312-690-4902reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/eastgate-capital-advisors-llcreportedpublic record, Form ADV, Sep 19, 2026
- Website
- E•••••••CA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-690-4900reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- e•••••••••.comreportedpublished 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
- $54.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026