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•••• A•••••••• L••

Former SEC-registered adviserIrvine, CaliforniaCRD 282117SEC 801-107082IAPD
Latest filing Mar 7, 2022
First filing on the tape Dec 16, 2015 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$278M as of Mar 17, 2020
Mar 10, 2017$194M then
HNW client RAUM$0 as of Mar 31, 2021
Mar 17, 2020$259,934 then
State-registered IARs (5.B.3)6 as of Mar 31, 2021
Mar 10, 20172 then
Employees (5.A)8 as of Mar 31, 2021
Mar 10, 20172 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 7 to 7
Practice profile
derived from the filing of Mar 7, 2022; every figure names its basis
RAUM per advisor
unknownderivedRAUM 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
-14%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••• N•••••• Y•• · Chief Compliance Officer
        since 01/2022 · owns 75% or more
      Entity owners
      • A••••••• L•••••• C••••• H••••••• I••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • S••••••• M••••••••• I•••
        pooled vehicle sponsorn
      • S••••••• T•••• C••••••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 7
        Dec 23, 2021 to Feb 11, 2022
      • Advisory activities · 2 to 1
        Dec 23, 2021 to Feb 11, 2022
      • Employees · 8 to 7
        Dec 23, 2021 to Feb 11, 2022
      • State-registered IARs · 6 to 7
        Dec 23, 2021 to Feb 11, 2022
      • HQ city · LONG BEACH to IRVINE
        Mar 31, 2021 to Dec 23, 2021
      • Accounts · 10.0 to unset
        Oct 20, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 6
        Oct 20, 2020 to Mar 31, 2021
      • Charity clients · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • Corporate clients · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • HNW clients · 1 to 0
        Oct 20, 2020 to Mar 31, 2021
      • Individual clients · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • Pension plan clients · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 9 to 0
        Oct 20, 2020 to Mar 31, 2021
      • Employees · 9 to 8
        Oct 20, 2020 to Mar 31, 2021
      • State-registered IARs · 7 to 6
        Oct 20, 2020 to Mar 31, 2021
      • Discretionary RAUM · 277302607.0 to unset
        Oct 20, 2020 to Mar 31, 2021
      • HNW RAUM · $259,934 to $0
        Oct 20, 2020 to Mar 31, 2021
      • Individual RAUM · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • Non-discretionary RAUM · 259934.0 to unset
        Oct 20, 2020 to Mar 31, 2021
      • Pension RAUM · unset to 0.0
        Oct 20, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $277M to $0
        Oct 20, 2020 to Mar 31, 2021
      • RAUM · 277562541.0 to unset
        Oct 20, 2020 to Mar 31, 2021
      • Accounts · 8 to 10
        May 9, 2019 to Mar 17, 2020
      • Advisory employees · 5 to 7
        May 9, 2019 to Mar 17, 2020
      • BD registered reps · 2 to 0
        May 9, 2019 to Mar 17, 2020
      • HNW clients · unset to 1.0
        May 9, 2019 to Mar 17, 2020
      • Pooled vehicle clients · 8 to 9
        May 9, 2019 to Mar 17, 2020
      • Employees · 5 to 9
        May 9, 2019 to Mar 17, 2020
      • State-registered IARs · 5 to 7
        May 9, 2019 to Mar 17, 2020
      • Discretionary RAUM · $265M to $277M
        May 9, 2019 to Mar 17, 2020
      • HNW RAUM · unset to 259934.0
        May 9, 2019 to Mar 17, 2020
      • Non-discretionary RAUM · $0 to $259,934
        May 9, 2019 to Mar 17, 2020
      • Pooled vehicle RAUM · $265M to $277M
        May 9, 2019 to Mar 17, 2020
      • RAUM · $265M to $278M
        May 9, 2019 to Mar 17, 2020
      • Related broker-dealer · true to false
        May 9, 2019 to Mar 17, 2020
      • Accounts · 2 to 8
        Mar 28, 2018 to Mar 21, 2019
      • Advisory employees · 2 to 5
        Mar 28, 2018 to Mar 21, 2019
      • Pooled vehicle clients · 2 to 8
        Mar 28, 2018 to Mar 21, 2019
      • Employees · 2 to 5
        Mar 28, 2018 to Mar 21, 2019
      • State-registered IARs · 2 to 5
        Mar 28, 2018 to Mar 21, 2019
      Signals
      2 dated events
      • Zhong John Shen (Member) no longer on Schedule A of E•••• A•••••••• L•• (listed 2022-02-11, absent 2022-03-07)
        Mar 7, 2022 · Control person left · inference
      • E•••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 16, 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.
      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