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•••••••
Wealth manager with institutional or fund businessChapel Hill, North CarolinaCRD 289395SEC 801-111042websiteIAPD
Legal name E••• A••••••• G••••• L••
Latest filing Aug 14, 2026
First filing on the tape Jul 25, 2017 · 30 filings
SEC status approved since Aug 25, 2017
RAUM
$1.9B
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
39%
$738M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
11
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.9B as of Aug 14, 2026
Mar 20, 2018$1.6B then
HNW client RAUM$707M as of Aug 14, 2026
Mar 20, 2018$519M then
State-registered IARs (5.B.3)6 as of Aug 14, 2026
Mar 20, 20180 then
Employees (5.A)11 as of Aug 14, 2026
Mar 20, 201811 then
Private funds5 as of Aug 14, 2026
Mar 20, 20185 then
RAUM -2.9% over the last fiscal year+5.3% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Aug 14, 2026; every figure names its basis
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $10.3MderivedHNW RAUM over HNW clients
- Average account
- $13.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.7%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $741M, 143 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$747M44%
- High-net-worth individuals$707M42%
- Pooled investment vehicles$156M9.3%
- Charitable organizations$39.1M2.3%
- Individuals$30.9M1.8%
- Individual clients
- 46reported
- HNW clients
- 69reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 144reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $741M for 143 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.39 fund_share=0.08 institutional_share=0.02 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• J•••••• P•••••Chartered Financial Analyst | Chapel Hill, Nc | Sep 5, 2017 | 20 y | 1 |
| J••• C••••• W••••••Chartered Financial Analyst | Chapel Hill, Nc | Sep 5, 2017 | 15 y | 2 |
| B••• F•••• D•••••Chartered Financial Analyst | Chapel Hill, Nc | Sep 5, 2017 | 23 y | 3 |
| R••••• E••••• M••••••••Chartered Financial Analyst | Chapel Hill, Nc | Nov 6, 2019 | 20 y | 1 |
| D••••• T••••• B•••••••• | Chapel Hill, Nc | Jul 21, 2021 | 12 y | 0 |
| A••••• C•••• M•••••• | Chapel Hill, Nc | Dec 1, 2025 | 11 y | 0 |
| M•••• M••••••••• B•••••••••Certified Financial Planner | Coral Gables, Fl | Aug 7, 2026 | 19 y | 0 |
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
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from E••• A•••••••• L•Sep 5, 2017 · Chapel Hill, Nc · Firm absorbed
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| F••••••••• I••••• S••••••••• F••• Q• L• | Hedge Fund | $59.6M | 51 | Mar 26, 2013 |
| F••••••••• I••••••••• E••••• F••• Q• L• | Hedge Fund | $36.8M | 38 | Mar 26, 2013 |
| F••••••••• E••••• O••••••••• F••• A• •••• L••• | Hedge Fund | $26.5M | 29 | Mar 28, 2014 |
| F••••••••• D••••••••• S••••••••• F••• A• •••• L••• | Hedge Fund | $22.3M | 24 | Mar 28, 2014 |
| F••••••••• D••••••••• S••••••••• F••• B• •••• L••• | Hedge Fund | $10.6M | 19 | Mar 28, 2014 |
Owners and control persons
Schedule A and B, latest filing
- E•••••••• T••••• · Founding Partnercontrolsince 07/2017 · owns less than 5%
- H•••••• B••••• D••• · Presidentcontrolsince 02/2024 · owns less than 5%
- M••••••••• R•••••• E••••• · Founding Partnercontrolsince 07/2017 · owns less than 5%
- P•••••• W••••••• J•••••• · Chief Investment Officercontrolsince 07/2017 · owns less than 5%
- S••••••• S••••• C•••••••• · Cco & Coocontrolsince 05/2020 · owns less than 5%
Entity owners
- F•••• O••••••••• L•• · Memberdirect · owns 75% or more
- C••• F•••••••• C••••••••• L••• · Partnerindirect · owns 25% to 50% of C••• F•••••••• H•••••••• L•••
- C••• F•••••••• H•••••••• L••• · Partnerindirect · owns 50% to 75% of F•••••••• F•• U••••••• H•••••••• L•
- C••••••• D••••••• • R••• F••• X••• L••• · Partnerindirect · owns 50% to 75% of C••• F•••••••• H•••••••• L•••
- F•••••••• F•• A••••••••• L•• · Shareholder, Class A Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• I••••••••• H•••••••• L•• · Memberindirect · owns 75% or more of F•••••••• F•• A••••••••• L••
- F•••••••• F•• P•••••• I••• · Memberindirect · owns 75% or more of F•••••••• F•• I••••••••• H•••••••• L••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholder Class B Common Stockindirect · owns 75% or more of F•••• F•••••••• P••••••• I•••
- F•••••••• F•• U••••••• H•••••••• L• · Shareholderindirect · owns 75% or more of F•••••••• F•• P•••••• I•••
- F•••• F•••••••• P••••••• I••• · Memberindirect · owns 75% or more of F•••• F•••••••• P•••••••• L••
- F•••• F•••••••• P•••••••• L•• · Memberindirect · owns 75% or more of F•••• O••••••••• L••
Related persons
Schedule D 7.A
- F•••• R••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chapel Hill, Nc · principal | 7 | 2 | 0 | ||
| Bonita Springs, Fl | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Aug 14, 2026H•••••• B••••• D••• (PRESIDENT) appeared on Schedule A between the filings of 2023-09-19 and 2026-08-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 156 to 144Jun 30, 2025 to Mar 27, 2026
- Advisory activities · 6 to 7Jun 30, 2025 to Mar 27, 2026
- Charity clients · 5 to 6Jun 30, 2025 to Mar 27, 2026
- HNW clients · 74 to 69Jun 30, 2025 to Mar 27, 2026
- Individual clients · 48 to 46Jun 30, 2025 to Mar 27, 2026
- Assets in custody · $728M to $741MJun 30, 2025 to Mar 27, 2026
- Employees · 12 to 11Jun 30, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.4B to $1.4BJun 30, 2025 to Mar 27, 2026
- HNW RAUM · $683M to $707MJun 30, 2025 to Mar 27, 2026
- Individual RAUM · $27.4M to $30.9MJun 30, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $547M to $469MJun 30, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $170M to $156MJun 30, 2025 to Mar 27, 2026
- RAUM · $1.9B to $1.9BJun 30, 2025 to Mar 27, 2026
- Financial planning clients · 101-250 to 101-250May 2, 2025 to Jun 30, 2025
- Accounts · 153 to 156Nov 1, 2024 to Mar 26, 2025
- Charity clients · 6 to 5Nov 1, 2024 to Mar 26, 2025
- HNW clients · 76 to 74Nov 1, 2024 to Mar 26, 2025
- Individual clients · 43 to 48Nov 1, 2024 to Mar 26, 2025
- Assets in custody · $795M to $728MNov 1, 2024 to Mar 26, 2025
- Employees · 13 to 12Nov 1, 2024 to Mar 26, 2025
- State-registered IARs · 5 to 6Nov 1, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.3B to $1.4BNov 1, 2024 to Mar 26, 2025
- HNW RAUM · $642M to $683MNov 1, 2024 to Mar 26, 2025
- Individual RAUM · $30.8M to $27.4MNov 1, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $684M to $547MNov 1, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $145M to $170MNov 1, 2024 to Mar 26, 2025
- RAUM · $2.0B to $1.9BNov 1, 2024 to Mar 26, 2025
- Related insurance company · false to trueNov 1, 2024 to Mar 26, 2025
- Other offices · 1 to 0Aug 26, 2024 to Nov 1, 2024
- Other offices · 0 to 1Mar 28, 2024 to May 28, 2024
- Accounts · 168 to 153Sep 19, 2023 to Mar 28, 2024
- Advisory employees · 6 to 5Sep 19, 2023 to Mar 28, 2024
- Charity clients · 7 to 6Sep 19, 2023 to Mar 28, 2024
- Corporate clients · unset to 5.0Sep 19, 2023 to Mar 28, 2024
- HNW clients · 77 to 76Sep 19, 2023 to Mar 28, 2024
- Individual clients · 37 to 43Sep 19, 2023 to Mar 28, 2024
- Assets in custody · $670M to $795MSep 19, 2023 to Mar 28, 2024
- Employees · 12 to 13Sep 19, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.3BSep 19, 2023 to Mar 28, 2024
- HNW RAUM · $603M to $642MSep 19, 2023 to Mar 28, 2024
Signals
5 dated events
- Tamara Lynn Surratt no longer registered at E••• A•••••••; no later IA registration on IAPDOct 4, 2024 · Advisor departure · fact
- Catherine Sarah Sculley (Chief Compliance Officer & Controller) appeared on Schedule A of E••• A•••••••Jun 25, 2020 · Control person joined · fact
- Maxime Bonjean (Chief Compliance Officer) no longer on Schedule A of E••• A••••••• (listed 2019-03-29, absent 2019-09-30)Sep 30, 2019 · Control person left · inference
- Maxime Bonjean (Chief Compliance Officer) appeared on Schedule A of E••• A•••••••Mar 29, 2019 · Control person joined · fact
- E••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jul 25, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••• A••••••• · Family Officesshared crd · office
- E••• A••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- info@etonadvisors.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-442-1530reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 919-442-1550reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/focus-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/eton-advisors-group-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.E•••ADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 919-442-1550reportedpublic record, Form ADV, Aug 14, 2026
- Contact form
- etonadvisors.com/contact-usreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026