DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

E••••••••

Former SEC-registered adviserCRD 298742SEC 801-114225IAPD
Legal name E•••••••• L••
Latest filing Mar 13, 2020
First filing on the tape Oct 1, 2018 · 4 filings
RAUM
$320,000
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$320,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
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
4 filings and snapshots on the tape
RAUM$320,000 as of Mar 13, 2020
May 17, 2019$280,000 then
HNW client RAUM: $280,000
State-registered IARs (5.B.3)1 as of Mar 13, 2020
May 17, 20190 then
Employees (5.A)2 as of Mar 13, 2020
May 17, 20192 then
Private funds: no history
RAUM +14% over the last fiscal yearIARs 0 to 1
Practice profile
derived from the filing of Mar 13, 2020; every figure names its basis
RAUM per advisor
$320,000derivedRAUM 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
$160,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+14%derivedbetween 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
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$320,000reportedItem 5.I
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
  • Individuals$320,000100%
Individual clients
2reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• S••••• · Shareholdercontrol
        since 09/2017 · owns 25% to 50%
      • M••••• L•••••••• P••••• · Ceo, Coo, Cco, Shareholdercontrol
        since 09/2017 · owns 50% to 75%
      • B••••••••• Z•• · Shareholder
        since 09/2017 · owns 5% to 10%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • HNW clients · 2.0 to unset
        May 17, 2019 to Mar 13, 2020
      • Individual clients · unset to 2.0
        May 17, 2019 to Mar 13, 2020
      • HQ city · RUMSON to unset
        May 17, 2019 to Mar 13, 2020
      • HQ state · NJ to unset
        May 17, 2019 to Mar 13, 2020
      • State-registered IARs · 0 to 1
        May 17, 2019 to Mar 13, 2020
      • Discretionary RAUM · $280,000 to $320,000
        May 17, 2019 to Mar 13, 2020
      • HNW RAUM · 280000.0 to unset
        May 17, 2019 to Mar 13, 2020
      • Individual RAUM · $0 to $320,000
        May 17, 2019 to Mar 13, 2020
      • Pension RAUM · 0.0 to unset
        May 17, 2019 to Mar 13, 2020
      • Pooled vehicle RAUM · 0.0 to unset
        May 17, 2019 to Mar 13, 2020
      • RAUM · $280,000 to $320,000
        May 17, 2019 to Mar 13, 2020
      • Succession · true to false
        May 17, 2019 to Mar 13, 2020
      • Accounts · 0 to 2
        Oct 1, 2018 to May 17, 2019
      • HNW clients · unset to 2.0
        Oct 1, 2018 to May 17, 2019
      • Discretionary RAUM · $0 to $280,000
        Oct 1, 2018 to May 17, 2019
      • HNW RAUM · $0 to $280,000
        Oct 1, 2018 to May 17, 2019
      • RAUM · $0 to $280,000
        Oct 1, 2018 to May 17, 2019
      • Succession · false to true
        Oct 1, 2018 to May 17, 2019
      Signals
      2 dated events
      • Empactful reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 17, 2019 · Succession (Item 4) · fact
      • Empactful filed its initial SEC registration (Form ADV)
        Oct 1, 2018 · 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