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••••• W••••• A•••••••• L••
Latest filing Aug 25, 2026
First filing on the tape Aug 25, 2026 · 1 filings
SEC status approved since Aug 27, 2026
RAUM
$112M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
36%
$40.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$37.4M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $112M
HNW client RAUM: $30.4M
State-registered IARs (5.B.3): 4
Employees (5.A): 5
Private funds: no history
Practice profile
derived from the filing of Aug 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $37.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 67derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $801,230derivedHNW RAUM over HNW clients
- Average account
- $212,740derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 64%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 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 assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$71.4M64%
- High-net-worth individuals$30.4M27%
- Individuals$9.5M8.5%
- Other investment advisers$670,4150.6%
- Individual clients
- 162reported
- HNW clients
- 38reported
- Pension plan clients
- 81reported
- Charitable clients
- n/areported
- Accounts
- 527reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.36 fund_share=0.01 institutional_share=0.64 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• J•••• R••••••••• | Overland Park, Ks | Nov 1, 2017 | 11 y | 2 |
| A••••• J•••• H••••••• | Overland Park, Ks | Nov 1, 2017 | 11 y | 2 |
| C•••• C••••• B•••••• | Overland Park, Ks | Jul 8, 2024 | 13 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
- B•••• L••••••• to F••••••• P••••••• A•• W•••••••• A•••••••Mar 21, 2023 · RIA to affiliated broker-dealer or bank
- T•••• R••• W••••• to E••••• A••••••• W••••• L••Oct 12, 2021 · Other
- R••• P••• F•••••• to C••••• A••••••• L••Jun 17, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- B•••• L••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 8, 2022 · Wirehouse to independent RIA
- T••••• J•••• R••••••••• from C••••• A••••••• L••Nov 1, 2017 · Other
- A••••• J•••• H••••••• from C••••• A••••••• L••Nov 1, 2017 · Other
- R••• P••• F•••••• from C••••• A••••••• L••Oct 31, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••• A••••••• L••Oct 25, 2017 · Overland Park, Ks
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E••••• W••••• A•••••••• L•• as a related person
- 310370 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Overland Park, Ks · principal | 3 | 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
- high institutional concentrationStatic outlier · filing Aug 25, 2026institutional share of RAUM of 64% against a peer median of 0% (5676 comparable advisers, 100.0th percentile, 21.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 100% percentile
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- B•••• L••••••• left E••••• W••••• A•••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-05-08)Mar 21, 2023 · Advisor changed firm · 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 email
- support@e•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 619-299-6161reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 708-447-8399reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 727-724-0949reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 913-681-9155reportedpublic record, Form ADV, Aug 25, 2026
- Team page
- engageadvisors.com/teamreportedpublished by the firm, firm site, Sep 16, 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
- $37.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026