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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Former SEC-registered adviser

E•• W••••• M••••••••• L••

Former SEC-registered adviserMansfield, OhioCRD 281835SEC 801-107178IAPD
Latest filing Jul 16, 2020
First filing on the tape Jan 13, 2016 · 10 filings
RAUM
$80.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 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
10 filings and snapshots on the tape
RAUM$80.0M as of Jul 16, 2020
Sep 27, 2016$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jul 16, 2020
Sep 27, 20163 then
Employees (5.A)2 as of Jul 16, 2020
Sep 27, 20163 then
Private funds: no history
RAUM -32% over the last fiscal year-15% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 16, 2020; every figure names its basis
RAUM per advisor
$40.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%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
-32%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 institutions, pension consulting, educational seminarsreportedItem 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
  • Pension and profit-sharing plans$80.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
50reported
Charitable clients
n/areported
Accounts
50reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B•••• P••••••• J•••• · Managing Member / Chief Compliance Officercontrol
      since 01/2016 · owns less than 5%
    • B••••••••• A••• · Owner/Presidentcontrol
      since 07/2011 · owns 50% to 75% of Neo Venture Capital, Inc.
    • B•••• P•••••• · Ownercontrol
      since 12/2015 · owns 50% to 75% of Neo Venture Capital, Inc.
    Entity owners
    • N•• V•••••• C••••••• I••• · Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Federal Way, WA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 105 to 50
      Jun 30, 2020 to Jul 16, 2020
    • Individual clients · 25.0 to unset
      Jun 30, 2020 to Jul 16, 2020
    • Pension plan clients · 85 to 50
      Jun 30, 2020 to Jul 16, 2020
    • Discretionary RAUM · $113M to $80.0M
      Jun 30, 2020 to Jul 16, 2020
    • Individual RAUM · 5000000.0 to unset
      Jun 30, 2020 to Jul 16, 2020
    • Non-discretionary RAUM · $5.0M to $0
      Jun 30, 2020 to Jul 16, 2020
    • Pension RAUM · $113M to $80.0M
      Jun 30, 2020 to Jul 16, 2020
    • RAUM · $118M to $80.0M
      Jun 30, 2020 to Jul 16, 2020
    • Insurance-licensed employees · 0 to 2
      Sep 25, 2019 to Nov 4, 2019
    • Accounts · 130 to 105
      Sep 13, 2018 to Sep 25, 2019
    • Individual clients · 20 to 25
      Sep 13, 2018 to Sep 25, 2019
    • Discretionary RAUM · $143M to $113M
      Sep 13, 2018 to Sep 25, 2019
    • Non-discretionary RAUM · $2.0M to $5.0M
      Sep 13, 2018 to Sep 25, 2019
    • Pension RAUM · $140M to $113M
      Sep 13, 2018 to Sep 25, 2019
    • RAUM · $145M to $118M
      Sep 13, 2018 to Sep 25, 2019
    • Accounts · 60 to 130
      Sep 25, 2017 to Sep 13, 2018
    • Advisory employees · 3 to 2
      Sep 25, 2017 to Sep 13, 2018
    • Individual clients · unset to 20.0
      Sep 25, 2017 to Sep 13, 2018
    • Pension plan clients · unset to 85.0
      Sep 25, 2017 to Sep 13, 2018
    • Employees · 3 to 2
      Sep 25, 2017 to Sep 13, 2018
    • State-registered IARs · 3 to 2
      Sep 25, 2017 to Sep 13, 2018
    • Other offices · unset to 1.0
      Sep 25, 2017 to Sep 13, 2018
    • Discretionary RAUM · $130M to $143M
      Sep 25, 2017 to Sep 13, 2018
    • Individual RAUM · unset to 5000000.0
      Sep 25, 2017 to Sep 13, 2018
    • Pension RAUM · unset to 140000000.0
      Sep 25, 2017 to Sep 13, 2018
    • RAUM · $132M to $145M
      Sep 25, 2017 to Sep 13, 2018
    • Accounts · 122 to 60
      May 30, 2017 to Sep 25, 2017
    • BD registered reps · 0 to 2
      May 30, 2017 to Sep 25, 2017
    • Discretionary RAUM · $119M to $130M
      May 30, 2017 to Sep 25, 2017
    • Non-discretionary RAUM · $4.3M to $2.0M
      May 30, 2017 to Sep 25, 2017
    • RAUM · $124M to $132M
      May 30, 2017 to Sep 25, 2017
    • Accounts · 131 to 122
      Mar 29, 2016 to Sep 27, 2016
    • Discretionary RAUM · $117M to $119M
      Mar 29, 2016 to Sep 27, 2016
    • Non-discretionary RAUM · $3.6M to $4.3M
      Mar 29, 2016 to Sep 27, 2016
    • RAUM · $121M to $124M
      Mar 29, 2016 to Sep 27, 2016
    • Accounts · 0 to 131
      Jan 13, 2016 to Mar 29, 2016
    • Advisory activities · 3 to 4
      Jan 13, 2016 to Mar 29, 2016
    • Discretionary RAUM · $0 to $117M
      Jan 13, 2016 to Mar 29, 2016
    • Non-discretionary RAUM · $0 to $3.6M
      Jan 13, 2016 to Mar 29, 2016
    • RAUM · $0 to $121M
      Jan 13, 2016 to Mar 29, 2016
    Signals
    3 dated events
    • Michael Jeremy Jacquin (Owner) no longer on Schedule A of Esb Wealth Management, Llc (listed 2018-09-13, absent 2019-09-25)
      Sep 25, 2019 · Control person left · inference
    • Esb Wealth Management, Llc filed its initial SEC registration (Form ADV)
      Jan 13, 2016 · First SEC registration · fact
    • Esb Wealth Management, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Jan 13, 2016 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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
    Former SEC-registered adviserderiveda 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