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••• F••••••••• L••

Former SEC-registered adviserSanta Monica, CaliforniaCRD 290208SEC 801-112010IAPD
Latest filing Feb 15, 2018
First filing on the tape Oct 9, 2017 · 6 filings
RAUM
$40.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$40.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$20.4M
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
6 filings and snapshots on the tape
RAUM$40.8M as of Feb 15, 2018
Oct 9, 2017$0 then
HNW client RAUM$32.1M as of Feb 15, 2018
Oct 9, 2017$0 then
State-registered IARs (5.B.3)2 as of Feb 15, 2018
Oct 9, 20172 then
Employees (5.A)2 as of Feb 15, 2018
Oct 9, 20172 then
Private funds: no history
Practice profile
derived from the filing of Feb 15, 2018; every figure names its basis
RAUM per advisor
$20.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
22derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$480,397derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, 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
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, 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)
  • 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
  • High-net-worth individuals$32.1M79%
  • Individuals$8.7M21%
Individual clients
30reported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
85reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••••• D••••••• E•••Chartered Financial ConsultantSanta Monica, CaNov 13, 201742 y3
A••••• D••••••• E•••Certified Financial Planner, Chartered Financial ConsultantSanta Monica, CaNov 13, 201728 y2
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• A•••••• D••••••• · Managing Member & Chief Compliance Officercontrol
        since 11/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Santa Monica, Ca · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 85
        Nov 13, 2017 to Jan 17, 2018
      • HNW clients · unset to 14.0
        Nov 13, 2017 to Jan 17, 2018
      • Individual clients · unset to 30.0
        Nov 13, 2017 to Jan 17, 2018
      • Discretionary RAUM · $0 to $40.8M
        Nov 13, 2017 to Jan 17, 2018
      • HNW RAUM · $0 to $32.1M
        Nov 13, 2017 to Jan 17, 2018
      • Individual RAUM · $0 to $8.7M
        Nov 13, 2017 to Jan 17, 2018
      • RAUM · $0 to $40.8M
        Nov 13, 2017 to Jan 17, 2018
      • Business name · A••• L•• to E••• F••••••••• L••
        Oct 9, 2017 to Nov 13, 2017
      • Legal name · A••• L•• to E••• F••••••••• L••
        Oct 9, 2017 to Nov 13, 2017
      Signals
      1 dated events
      • A••• L•• filed its initial SEC registration (Form ADV)
        Oct 9, 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.
      How to reach
      public business contact points only, each with its source
      Firm profile
      LINKEDIN.COM/COMPANY/E•••FINANCIALreportedpublic record, Form ADV, Sep 18, 2026
      Website
      E•••FINANCIAL.COMreportedpublic record, Form ADV, Sep 18, 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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $20.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026