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••••• F•••••••• N••••••• I•••
Latest filing Aug 31, 2026
First filing on the tape Feb 25, 2021 · 26 filings
SEC status approved since Mar 26, 2021
RAUM
$391M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$391M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$23.0M
derived; firm RAUM over IAPD count
Employees
19
15 advisory (5.B.1)
Offices
18
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$391M as of Aug 31, 2026
Mar 26, 2021$108M then
HNW client RAUM$299M as of Aug 31, 2026
Mar 26, 2021$63.0M then
State-registered IARs (5.B.3)15 as of Aug 31, 2026
Mar 26, 20216 then
Employees (5.A)19 as of Aug 31, 2026
Mar 26, 20216 then
Private funds: no history
RAUM -5.2% over the last fiscal year+37% a year over threeIARs 18 to 15offices 17 to 18
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · p••••••-client share of RAUM at least 50 percent and HNW share of p••••••-client RAUM 50 to 90 percent
- RAUM per advisor
- $23.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $965,697derivedHNW RAUM over HNW clients
- Average account
- $295,962derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 0.9derived19 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $122M, 171 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$299M77%
- Individuals$91.4M23%
- Charitable organizations$162,5220.0%
- Individual clients
- 124reported
- HNW clients
- 310reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,321reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $122M for 171 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••• L•••• B••••Certified Financial Pla•••r | Fort Washington, Pa | Feb 6, 2017 | 20 y | 1 |
| S••••••• D••••••• C••••Certified Financial Pla•••r | Fort Washington, Pa | Jun 24, 2020 | 33 y | 2 |
| K•••••••• A•• S••••••Certified Financial Pla•••r | Alcoa, Tn | Sep 2, 2020 | 32 y | 4 |
| B•••••• V•••• G•••••Certified Financial Pla•••r | Fort Washington, Pa | Mar 1, 2022 | 16 y | 3 |
| C••••••• M•••••• M••••Certified Financial Pla•••r | Fort Washington, Pa | Feb 22, 2024 | 20 y | 0 |
| L•••• A•• T••• C•••••••Certified Financial Pla•••r | Reston, Va | Mar 28, 2024 | 12 y | 3 |
| A•• M••••••• H•••••••Certified Financial Pla•••r | Fraser, Co | May 21, 2024 | 27 y | 4 |
| A•• J••••• S••••••Certified Financial Pla•••r | Albuquerque, Nm | Jun 18, 2024 | 11 y | 2 |
| S•••••• L••• W•••••Certified Financial Pla•••r | Fort Washington, Pa | Jun 24, 2024 | 24 y | 2 |
| M••••••• A••• B••••• | New York, Ny | Aug 20, 2024 | 10 y | 0 |
| B••••••••• T•••••• W•• Y• H••••Certified Financial Pla•••r, Chartered Financial Analyst | Fort Washington, Pa | Sep 24, 2024 | 21 y | 2 |
| J••••••• C•••• D•••••Certified Financial Pla•••r | Oakland, Ca | Jan 22, 2025 | 20 y | 1 |
| S•••••• W••• | Saratoga, Ca | Mar 11, 2025 | 11 y | 0 |
| S•••••• J•• W••••Certified Financial Pla•••r | Fort Washington, Pa | Apr 9, 2025 | 11 y | 3 |
| J••••••• P•••• W••••Certified Financial Pla•••r | Marshfield, Ma | Dec 3, 2025 | 14 y | 0 |
| D•••• M••••••• F•••••••Certified Financial Pla•••r | San Francisco, Ca | Jun 25, 2026 | 13 y | 2 |
| T••••• A• P•••••Certified Financial Pla•••r | Columbus, Nj | Jul 28, 2026 | 24 y | 1 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 18% of current headcount7 left over 36 months
Left, latest
- M••••••• H••••••••• C••••••• to I••••••• F••Jan 20, 2026 · RIA to RIA
- A••••• S•••• S••••••••• to I••••••• F••Dec 18, 2025 · RIA to RIA
- M•••• O•••••••• to C••••• P••••••• L••Nov 21, 2025 · RIA to RIA
- M•••• S••••• L•••• to N•••• F••••••••May 9, 2025 · RIA to a state-registered adviser
- E•••• K•••••••• O••••• to T••••• W••••• A•••••••Apr 4, 2025 · RIA to a newly registered adviser
- M•••• T••••• H•••••••• H••••• to T••••• W••••• A•••••••Apr 4, 2025 · RIA to a newly registered adviser
- M•••••• J••• M••••••• to T••••• W••••• A•••••••Apr 4, 2025 · RIA to a newly registered adviser
- E••• J••••• S•••••• to H•• P••••••• F••••••Jul 17, 2023 · RIA to a state-registered adviser
- M••• M•••••• L••••••••• to N••••••• W••••• M••••••••• L••Oct 7, 2022 · RIA to RIA
Joined, latest
- T••••• A• P••••• from G•••••• W••••• M••••••••• L••Jul 28, 2026 · Other
- D•••• M••••••• F••••••• from N•••••••• I••••••••• A••••••• L••Jun 25, 2026 · Other
- S•••••• J•• W•••• from M•••••• C•••••• A•••••••• L••Apr 9, 2025 · RIA to RIA
- J••••••• C•••• D••••• from S••••••• A•••••••Jan 22, 2025 · RIA to RIA
- B••••••••• T•••••• W•• Y• H•••• from K••••••• F•••••••• L••Sep 24, 2024 · RIA to RIA
- S•••••• L••• W••••• from Y••• S•••• F••••••••• L••Jun 24, 2024 · Other
- A•• J••••• S•••••• from I••••••••• F••••••• L••Jun 18, 2024 · Other
- A•• M••••••• H••••••• from O••••• I••••••••• A••••••• L••May 21, 2024 · RIA to RIA
- L•••• A•• T••• C••••••• from M•••••• C•••••• A•••••••• L••Mar 28, 2024 · RIA to RIA
- E••• J••••• S•••••• from A••••• 4••• L••Jan 30, 2023 · Other
- M•••• T••••• H•••••••• H••••• from C•••• F•••••••• P•••••••May 2, 2022 · Other
- B•••••• V•••• G••••• from L••••• W••••• A•••••••• I•••Mar 1, 2022 · RIA to RIA
- M••• M•••••• L••••••••• from P••••• W•••• I••••••••• A•••••••• I•••Oct 11, 2020 · RIA to RIA
- K•••••••• A•• S•••••• from T•• N•••• S••••••••• G••••• L••Sep 2, 2020 · RIA to RIA
- S••••••• D••••••• C•••• from S•••• B••••• A•••• M••••••••• L••Jun 24, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• K•••••••• L•••• · Co-Foundercontrolsince 05/2015 · owns 50% to 75%
- C•••••• J••••• M•••••• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- G•••••• B••••••• V•••• · Co-Founder And Presidentcontrolsince 03/2018 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Fort Washington, Pa · principal | 17 | 3 | 1 | ||
| Columbia, Mo | 0 | 0 | 0 | ||
| Mt Juliet, Tn | 0 | 0 | 0 | ||
| St Paul, Mn | 0 | 0 | 0 | ||
| Charlottesville, Va | 0 | 0 | 2 |
Offices
Schedule D 1.F, the 25 largest
- Columbia, MO2 employees
- Albuquerque, NM1 employees
- New York, NY1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 17 to 18Mar 11, 2026 to Apr 6, 2026
- Accounts · 1,476 to 1,321Dec 18, 2025 to Mar 11, 2026
- Advisory employees · 18 to 15Dec 18, 2025 to Mar 11, 2026
- HNW clients · 89 to 310Dec 18, 2025 to Mar 11, 2026
- Individual clients · 364 to 124Dec 18, 2025 to Mar 11, 2026
- Assets in custody · $11.9M to $122MDec 18, 2025 to Mar 11, 2026
- Custody of client assets · false to trueDec 18, 2025 to Mar 11, 2026
- State-registered IARs · 18 to 15Dec 18, 2025 to Mar 11, 2026
- Discretionary RAUM · $412M to $391MDec 18, 2025 to Mar 11, 2026
- HNW RAUM · $286M to $299MDec 18, 2025 to Mar 11, 2026
- Individual RAUM · $126M to $91.4MDec 18, 2025 to Mar 11, 2026
- Non-discretionary RAUM · $0 to $60,529Dec 18, 2025 to Mar 11, 2026
- RAUM · $412M to $391MDec 18, 2025 to Mar 11, 2026
- Related adviser · false to trueDec 18, 2025 to Mar 11, 2026
- Accounts · 990 to 1,476Dec 6, 2024 to Mar 24, 2025
- Advisory employees · 13 to 18Dec 6, 2024 to Mar 24, 2025
- HNW clients · 36 to 89Dec 6, 2024 to Mar 24, 2025
- Individual clients · 326 to 364Dec 6, 2024 to Mar 24, 2025
- Assets in custody · $47.8M to $11.9MDec 6, 2024 to Mar 24, 2025
- Employees · 15 to 19Dec 6, 2024 to Mar 24, 2025
- fin p••••••• clients · 251-500 to 251-500Dec 6, 2024 to Mar 24, 2025
- State-registered IARs · 13 to 18Dec 6, 2024 to Mar 24, 2025
- Other offices · 14 to 17Dec 6, 2024 to Mar 24, 2025
- Discretionary RAUM · $283M to $412MDec 6, 2024 to Mar 24, 2025
- HNW RAUM · $141M to $286MDec 6, 2024 to Mar 24, 2025
- Individual RAUM · $142M to $126MDec 6, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $277,569 to $0Dec 6, 2024 to Mar 24, 2025
- RAUM · $283M to $412MDec 6, 2024 to Mar 24, 2025
- Other offices · 13 to 14Nov 19, 2024 to Dec 6, 2024
- Advisory employees · 8 to 13Jun 20, 2024 to Aug 2, 2024
- Employees · 9 to 15Jun 20, 2024 to Aug 2, 2024
- State-registered IARs · 8 to 13Jun 20, 2024 to Aug 2, 2024
- Other offices · 1 to 13Jun 20, 2024 to Aug 2, 2024
- Other offices · 6 to 1Mar 27, 2024 to May 20, 2024
- Accounts · 821 to 990Feb 2, 2024 to Mar 27, 2024
- Advisory employees · 7 to 8Feb 2, 2024 to Mar 27, 2024
- HNW clients · 35 to 36Feb 2, 2024 to Mar 27, 2024
- Individual clients · 200 to 326Feb 2, 2024 to Mar 27, 2024
- Assets in custody · $44.1M to $47.8MFeb 2, 2024 to Mar 27, 2024
- Custody of client assets · true to falseFeb 2, 2024 to Mar 27, 2024
Signals
15 dated events
- M••••••• H••••••••• C••••••• left E••••• F•••••••• N••••••• I••• for I••••••• F•• (registered 2025-12-15)Jan 20, 2026 · advisor firm c••••e · fact
- A••••• S•••• S••••••••• left E••••• F•••••••• N••••••• I••• for I••••••• F•• (registered 2025-12-15)Dec 18, 2025 · advisor firm c••••e · fact
- M•••• O•••••••• left E••••• F•••••••• N••••••• I••• for C••••• P••••••• L•• (registered 2025-11-03)Nov 21, 2025 · advisor firm c••••e · fact
- M•••• S••••• L•••• left E••••• F•••••••• N••••••• I••• for N•••• F•••••••• (registered 2026-05-11)May 9, 2025 · advisor firm c••••e · fact
- M•••• T••••• H•••••••• H••••• left E••••• F•••••••• N••••••• I••• for T••••• W••••• A••••••• (registered 2025-04-02)Apr 4, 2025 · advisor firm c••••e · fact
- M•••••• J••• M••••••• left E••••• F•••••••• N••••••• I••• for T••••• W••••• A••••••• (registered 2025-04-02)Apr 4, 2025 · advisor firm c••••e · fact
- E•••• K•••••••• O••••• left E••••• F•••••••• N••••••• I••• for T••••• W••••• A••••••• (registered 2025-04-02)Apr 4, 2025 · advisor firm c••••e · fact
- E••••• F•••••••• N••••••• I••• reported RAUM $412.3M, up 46% from $283.1M (2024-12-06 to 2025-03-24)Mar 24, 2025 · ria raum c••••e · derived
- E••••• F•••••••• N••••••• I••• reported 13 offices beyond its principal office, up from 1 (2024-06-20 to 2024-08-02)Aug 2, 2024 · ria office count c••••e · derived
- E••••• F•••••••• N••••••• I••• reported 1 offices beyond its principal office, down from 6 (2024-03-27 to 2024-05-20)May 20, 2024 · ria office count c••••e · derived
- E••••• F•••••••• N••••••• I••• reported RAUM $283.1M, up 87% from $151.5M (2024-02-02 to 2024-03-27)Mar 27, 2024 · ria raum c••••e · derived
- M•••••• J•••• C••••• (Chief Compliance Officer) appeared on Schedule A of E••••• F•••••••• N••••••• I•••Aug 31, 2023 · Control person joined · fact
- E••• J••••• S•••••• left E••••• F•••••••• N••••••• I••• for H•• P••••••• F•••••• (registered 2023-08-28)Jul 17, 2023 · advisor firm c••••e · fact
- M••• M•••••• L••••••••• left E••••• F•••••••• N••••••• I••• for N••••••• W••••• M••••••••• L•• (registered 2022-09-01)Oct 7, 2022 · advisor firm c••••e · fact
- E••••• F•••••••• N••••••• I••• filed its initial SEC registration (Form ADV)Feb 25, 2021 · 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
- info@e•••••fn.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 800-604-0176reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/aeglewealthreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/astraea-wealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- equitafn.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800.604.0176reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- equitafn.com/contactreportedpublished 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
- $23.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026