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••• W••••• M•••••••••
Legal name E••• F•••••••• S••••••• C•••••••••
Latest filing Mar 10, 2026
First filing on the tape Jul 22, 2015 · 34 filings
SEC status approved since Jul 24, 2015
RAUM
$232M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$230M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$58.0M
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$232M as of Mar 10, 2026
Jan 27, 2016$101M then
HNW client RAUM$117M as of Mar 10, 2026
Mar 28, 2018$38.9M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Jan 27, 20164 then
Employees (5.A)7 as of Mar 10, 2026
Jan 27, 20166 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 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
- 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
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 84derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $267,069derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.8%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $63.5M, 140 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$117M50%
- Individuals$113M49%
- Charitable organizations$2.5M1.1%
- Individual clients
- 290reported
- HNW clients
- 47reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 869reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.5M for 140 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 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 |
|---|---|---|---|---|
| S••••• R•••••• E•••••••••Certified Financial Planner, Chartered Financial Consultant | Harrisburg, Pa | Oct 8, 2015 | 28 y | 1 |
| B•••• N••••••• Z••••••Certified Financial Planner | Harrisburg, Pa | Feb 15, 2020 | 16 y | 0 |
| R••• R••••• T•••• | Harrisburg, Pa | Apr 26, 2022 | 17 y | 0 |
| J•••• C• A••• | Harrisburg, Pa | Sep 29, 2022 | 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
- R••••• E•••• S•••• to V••••••• A•••••••• I•••Jul 31, 2020 · RIA to affiliated broker-dealer or bank
- A••• J••• M••••••• to J• W• C••• A•••••••• I•••Jan 24, 2019 · RIA to RIA
- J•••• E•• B••• D•••••• to E•••••• A••••••• G••••• L••Feb 15, 2018 · Other
- B•••••• J••• S•••••• to W•••• F•••• A•••••••Jan 18, 2018 · Other
Joined, latest
- S••••• R•••••• E••••••••• from W•••• F•••• A•••••••Oct 8, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••••• J••• S•••••• from W•••• F•••• A•••••••Oct 8, 2015 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Oct 1, 2015 · Harrisburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••••••• S•••••• R•••••• · President/Ccocontrolsince 09/2015 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Harrisburg, Pa · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 746 to 869Mar 5, 2025 to Mar 10, 2026
- HNW clients · 43 to 47Mar 5, 2025 to Mar 10, 2026
- Individual clients · 264 to 290Mar 5, 2025 to Mar 10, 2026
- Assets in custody · $59.8M to $63.5MMar 5, 2025 to Mar 10, 2026
- Discretionary RAUM · $193M to $232MMar 5, 2025 to Mar 10, 2026
- HNW RAUM · $99.4M to $117MMar 5, 2025 to Mar 10, 2026
- Individual RAUM · $90.9M to $113MMar 5, 2025 to Mar 10, 2026
- RAUM · $193M to $232MMar 5, 2025 to Mar 10, 2026
- Accounts · 683 to 746Apr 18, 2024 to Mar 5, 2025
- HNW clients · 41 to 43Apr 18, 2024 to Mar 5, 2025
- Individual clients · 245 to 264Apr 18, 2024 to Mar 5, 2025
- Assets in custody · $66.4M to $59.8MApr 18, 2024 to Mar 5, 2025
- Financial planning clients · 101-250 to 101-250Apr 18, 2024 to Mar 5, 2025
- Discretionary RAUM · $168M to $193MApr 18, 2024 to Mar 5, 2025
- HNW RAUM · $89.2M to $99.4MApr 18, 2024 to Mar 5, 2025
- Individual RAUM · $78.5M to $90.9MApr 18, 2024 to Mar 5, 2025
- RAUM · $168M to $193MApr 18, 2024 to Mar 5, 2025
- Accounts · 656 to 683Mar 17, 2023 to Mar 18, 2024
- Advisory employees · 3 to 4Mar 17, 2023 to Mar 18, 2024
- Advisory activities · 2 to 3Mar 17, 2023 to Mar 18, 2024
- HNW clients · 40 to 41Mar 17, 2023 to Mar 18, 2024
- Individual clients · 233 to 245Mar 17, 2023 to Mar 18, 2024
- Assets in custody · $36.8M to $66.4MMar 17, 2023 to Mar 18, 2024
- Employees · 10 to 7Mar 17, 2023 to Mar 18, 2024
- State-registered IARs · 3 to 4Mar 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $137M to $168MMar 17, 2023 to Mar 18, 2024
- HNW RAUM · $74.1M to $89.2MMar 17, 2023 to Mar 18, 2024
- Individual RAUM · $75.5M to $78.5MMar 17, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $12.9M to $0Mar 17, 2023 to Mar 18, 2024
- RAUM · $150M to $168MMar 17, 2023 to Mar 18, 2024
- Accounts · 643 to 656Feb 15, 2022 to Mar 17, 2023
- Charity clients · 1 to 0Feb 15, 2022 to Mar 17, 2023
- Individual clients · 219 to 233Feb 15, 2022 to Mar 17, 2023
- Pension plan clients · 5 to 0Feb 15, 2022 to Mar 17, 2023
- Discretionary RAUM · $143M to $137MFeb 15, 2022 to Mar 17, 2023
- HNW RAUM · $71.2M to $74.1MFeb 15, 2022 to Mar 17, 2023
- Individual RAUM · $69.9M to $75.5MFeb 15, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $10.7M to $12.9MFeb 15, 2022 to Mar 17, 2023
- Pension RAUM · $10.1M to $0Feb 15, 2022 to Mar 17, 2023
- RAUM · $154M to $150MFeb 15, 2022 to Mar 17, 2023
Signals
2 dated events
- E••• W••••• M••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 4, 2016 · Succession (Item 4) · fact
- E•••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 22, 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
- Firm profile
- LINKEDIN.COM/COMPANY/E•••-WEALTH-MANAGEMENT-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- econxchange.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 717-545-5870reportedpublic record, Form ADV, Mar 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
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026