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• H••••• I••••••••• L••

Former SEC-registered adviserSpringfield, OhioCRD 285108SEC 801-108464IAPD
Latest filing Nov 12, 2018
First filing on the tape Jul 20, 2017 · 7 filings
RAUM
$0
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$0 as of Nov 12, 2018
Jul 20, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Nov 12, 2018
Jul 20, 20171 then
Employees (5.A)2 as of Nov 12, 2018
Jul 20, 20173 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 12, 2018; every figure names its basis
RAUM per advisor
$0derivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••• C••••••••• J•••• · Managing Membercontrol
    since 05/2017 · owns less than 5%
  • D••••••• C••••••••• J•••• · Indirect Ownercontrol
    since 05/2017 · owns 75% or more of E• H•••••• I•••
  • D••••••• D•••••• S•••• · Chief Compliance Officer
    since 11/2018 · owns less than 5%
Entity owners
  • E• H•••••• I••• · Member And Direct Owner
    direct · owns 75% or more
  • E• H•••••• I••• · Direct Owner
    indirect · owns 75% or more of E• H•••••• I•••
  • H••• G••••• I•• · Indirect Owner
    indirect · owns 75% or more of E• H•••••• I•••
  • H•••• I••• · Indirect Owner
    indirect · owns 75% or more of H••• G••••• I••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Succession · true to false
    Mar 29, 2018 to Apr 26, 2018
  • Advisory employees · 1 to 2
    Nov 1, 2017 to Mar 29, 2018
  • Employees · 3 to 2
    Nov 1, 2017 to Mar 29, 2018
  • State-registered IARs · 1 to 2
    Nov 1, 2017 to Mar 29, 2018
  • Succession · false to true
    Nov 1, 2017 to Mar 29, 2018
  • Financial planning clients · unset to 0
    Jul 20, 2017 to Oct 31, 2017
  • Other offices · unset to 0.0
    Jul 20, 2017 to Oct 31, 2017
  • Wrap assets (manager) · unset to 0.0
    Jul 20, 2017 to Oct 31, 2017
  • Wrap assets (sponsor) · unset to 0.0
    Jul 20, 2017 to Oct 31, 2017
Signals
1 dated events
  • E• H••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Mar 29, 2018 · 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