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•••••••• M••• L••
Latest filing Oct 5, 2018
First filing on the tape May 19, 2017 · 13 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
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$0 as of Oct 5, 2018
May 19, 2017$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Oct 5, 2018
May 19, 20170 then
Employees (5.A)4 as of Oct 5, 2018
May 19, 20178 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 5, 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
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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)
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
- 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
Left, latest
- J••• S••••• R•••• to V••••• A•••• M•••••••••Jul 24, 2018 · Other
- G•••••• K••••• to V••••• A•••• M•••••••••Nov 16, 2017 · Other
- B•••• M•••••• M••••••• to V••••• A•••• M•••••••••Nov 16, 2017 · Other
Joined, latest
- B•••• M•••••• M••••••• from V••••• A•••• M•••••••••Jul 25, 2018 · Other
- G•••••• K••••• from P••••••••• S••••••••• C•••••••••Jul 13, 2017 · Other
- B•••• M•••••• M••••••• from V••••• A•••• M•••••••••Jul 13, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for V••••• A•••• M•••••••••Nov 16, 2017 · Oakdale, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••••• G•••••• · Member, Chief Distribution Officercontrolsince 03/2017 · owns 10% to 25%
- K•••••• D•••••• L••• · Member, Chief Operating Officercontrolsince 03/2017 · owns 10% to 25%
- M•••••••• B••••• M•••••• · Member, Chief Executive Officer & Chief Compliance Officercontrolsince 03/2017 · owns 10% to 25%
- N••••••• E•••• J•••• · Managing Member, Chief Business Development Officercontrolsince 03/2017 · owns 25% to 50%
Related persons
Schedule D 7.A
- E••• N••••••real estatey
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 2 to 1Sep 9, 2018 to Sep 21, 2018
- Advisory activities · 3 to 2Aug 26, 2018 to Sep 9, 2018
- Advisory employees · 1 to 3Jul 10, 2018 to Aug 10, 2018
- Advisory activities · 4 to 3Jul 10, 2018 to Aug 10, 2018
- BD registered reps · 0 to 2Jul 10, 2018 to Aug 10, 2018
- Employees · 1 to 4Jul 10, 2018 to Aug 10, 2018
- Insurance-licensed employees · 1 to 3Jul 10, 2018 to Aug 10, 2018
- State-registered IARs · 1 to 3Jul 10, 2018 to Aug 10, 2018
- Advisory employees · 0 to 1Apr 27, 2018 to Jul 10, 2018
- Advisory activities · 2 to 4Apr 27, 2018 to Jul 10, 2018
- Accounts · 10 to 0Dec 7, 2017 to Apr 27, 2018
- Advisory employees · 6 to 0Dec 7, 2017 to Apr 27, 2018
- BD registered reps · 4 to 0Dec 7, 2017 to Apr 27, 2018
- Employees · 8 to 1Dec 7, 2017 to Apr 27, 2018
- Insurance-licensed employees · 2 to 1Dec 7, 2017 to Apr 27, 2018
- State-registered IARs · 0 to 1Dec 7, 2017 to Apr 27, 2018
- Discretionary RAUM · $100,000 to $0Dec 7, 2017 to Apr 27, 2018
- Individual RAUM · 100000.0 to unsetDec 7, 2017 to Apr 27, 2018
- RAUM · $100,000 to $0Dec 7, 2017 to Apr 27, 2018
- Accounts · 0 to 10Sep 1, 2017 to Dec 7, 2017
- Other offices · unset to 0.0Sep 1, 2017 to Dec 7, 2017
- Discretionary RAUM · $0 to $100,000Sep 1, 2017 to Dec 7, 2017
- Individual RAUM · unset to 100000.0Sep 1, 2017 to Dec 7, 2017
- RAUM · $0 to $100,000Sep 1, 2017 to Dec 7, 2017
Signals
1 dated events
- E•••••••• M••• L•• filed its initial SEC registration (Form ADV)May 19, 2017 · 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