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•••••••• A•••••
Legal name E•••••••• A•••••• I•••
Latest filing Feb 4, 2026
First filing on the tape Jan 27, 2021 · 9 filings
SEC status approved since Feb 26, 2021
RAUM
$165M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
93%
$154M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$165M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$165M as of Feb 4, 2026
Mar 17, 2021$134M then
HNW client RAUM$121M as of Feb 4, 2026
Mar 17, 2021$99.7M then
State-registered IARs (5.B.3)1 as of Feb 4, 2026
Mar 17, 20211 then
Employees (5.A)2 as of Feb 4, 2026
Mar 17, 20212 then
Private funds: no history
RAUM +9.2% over the last fiscal year+9.2% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 4, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $165MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 124derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $402,786derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 6.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $19.4M, 17 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$121M73%
- Individuals$32.8M20%
- Pension and profit-sharing plans$9.9M6.0%
- Charitable organizations$1.4M0.9%
- Individual clients
- 83reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 410reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.4M for 17 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• E•••••• M•••••••Certified Financial Planner | Haslett, Mi | Feb 23, 2017 | 22 y | 3 |
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
none on the tape
Joined, latest
- J••••• E•••••• M••••••• from L•••••• P••• C•••••••••Feb 23, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• J•••••• E•••••• · CFP And Ccocontrolsince 10/2016 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 4, 2026custody of client assets (Item 9.A): no on the filing of 2025-01-25, yes on the filing of 2026-02-04peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 405 to 410Jan 25, 2025 to Feb 4, 2026
- HNW clients · 38 to 41Jan 25, 2025 to Feb 4, 2026
- Individual clients · 86 to 83Jan 25, 2025 to Feb 4, 2026
- Assets in custody · $67.9M to $19.4MJan 25, 2025 to Feb 4, 2026
- Custody of client assets · false to trueJan 25, 2025 to Feb 4, 2026
- Financial planning clients · 51-100 to 26-50Jan 25, 2025 to Feb 4, 2026
- Discretionary RAUM · $144M to $160MJan 25, 2025 to Feb 4, 2026
- HNW RAUM · $109M to $121MJan 25, 2025 to Feb 4, 2026
- Individual RAUM · $33.3M to $32.8MJan 25, 2025 to Feb 4, 2026
- Non-discretionary RAUM · $7.3M to $5.2MJan 25, 2025 to Feb 4, 2026
- Pension RAUM · $8.2M to $9.9MJan 25, 2025 to Feb 4, 2026
- RAUM · $151M to $165MJan 25, 2025 to Feb 4, 2026
- Accounts · 415 to 405Jan 23, 2024 to Jan 25, 2025
- HNW clients · 37 to 38Jan 23, 2024 to Jan 25, 2025
- Individual clients · 83 to 86Jan 23, 2024 to Jan 25, 2025
- Assets in custody · $13.2M to $67.9MJan 23, 2024 to Jan 25, 2025
- Financial planning clients · 51-100 to 51-100Jan 23, 2024 to Jan 25, 2025
- HQ city · unset to Jan 23, 2024 to Jan 25, 2025
- HQ state · unset to Jan 23, 2024 to Jan 25, 2025
- Discretionary RAUM · $133M to $144MJan 23, 2024 to Jan 25, 2025
- HNW RAUM · $99.7M to $109MJan 23, 2024 to Jan 25, 2025
- Individual RAUM · $32.4M to $33.3MJan 23, 2024 to Jan 25, 2025
- Non-discretionary RAUM · $7.4M to $7.3MJan 23, 2024 to Jan 25, 2025
- Pension RAUM · $6.8M to $8.2MJan 23, 2024 to Jan 25, 2025
- RAUM · $141M to $151MJan 23, 2024 to Jan 25, 2025
- Accounts · 433 to 415Mar 3, 2023 to Jan 23, 2024
- Charity clients · 2.0 to unsetMar 3, 2023 to Jan 23, 2024
- HNW clients · 44 to 37Mar 3, 2023 to Jan 23, 2024
- Individual clients · 78 to 83Mar 3, 2023 to Jan 23, 2024
- Pension plan clients · 1.0 to unsetMar 3, 2023 to Jan 23, 2024
- Assets in custody · $23.4M to $13.2MMar 3, 2023 to Jan 23, 2024
- Financial planning clients · 26-50 to 51-100Mar 3, 2023 to Jan 23, 2024
- Discretionary RAUM · $117M to $133MMar 3, 2023 to Jan 23, 2024
- HNW RAUM · $95.3M to $99.7MMar 3, 2023 to Jan 23, 2024
- Individual RAUM · $24.9M to $32.4MMar 3, 2023 to Jan 23, 2024
- Non-discretionary RAUM · $9.5M to $7.4MMar 3, 2023 to Jan 23, 2024
- Pension RAUM · $5.5M to $6.8MMar 3, 2023 to Jan 23, 2024
- RAUM · $127M to $141MMar 3, 2023 to Jan 23, 2024
- Accounts · 374 to 433Jan 11, 2022 to Mar 3, 2023
- HNW clients · 42 to 44Jan 11, 2022 to Mar 3, 2023
Signals
1 dated events
- E•••••••• A••••• filed its initial SEC registration (Form ADV)Jan 27, 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 phone
- 510-549-2525reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- effectiveassets.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-549-2525reportedpublic record, Form ADV, Feb 4, 2026
- Contact form
- effectiveassets.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $165Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026