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.
SEC-registered adviser
Eagle Wealth Advisors
Latest filing May 28, 2026
First filing on the tape Sep 18, 2019 · 21 filings
SEC status approved since Oct 24, 2019
RAUM
$164M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
100%
$164M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$54.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$164M as of May 28, 2026
Feb 21, 2020$105M then
HNW client RAUM$130M as of May 28, 2026
Feb 21, 2020$103M then
State-registered IARs (5.B.3)2 as of May 28, 2026
Feb 21, 20204 then
Employees (5.A)3 as of May 28, 2026
Feb 21, 20205 then
Private funds: no history
RAUM +19% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 28, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $54.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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
- High-net-worth individuals$130M79%
- Individuals$34.1M21%
- Individual clients
- 70reported
- HNW clients
- 31reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 101reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| Joseph Anthony Romano | Westport, Ct | May 14, 2020 | 42 y | 3 |
| Lorne Michael Claymore | Sarasota, Fl | May 17, 2023 | 12 y | 1 |
| Nicholas Anthony Romano | Stamford, Ct | Dec 1, 2023 | 10 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 headcount1 left over 36 months
Left, latest
- Jon R Lee to Accurate Wealth Management, LLCFeb 1, 2024 · RIA to RIA
- Eric Newman to Dominari Securities LLCAug 2, 2021 · RIA to RIA
- Gianni A Valenti to LPL Financial LLCNov 6, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- Lorne Michael Claymore from Edward JonesMay 17, 2023 · Affiliated broker-dealer or bank to independent RIA
- Gianni A Valenti from Edward JonesSep 18, 2020 · Affiliated broker-dealer or bank to independent RIA
- Jon R Lee from Aegis Capital Corp.Jun 8, 2020 · Affiliated broker-dealer or bank to independent RIA
- Joseph Anthony Romano from Aegis Capital Corp.May 14, 2020 · Affiliated broker-dealer or bank to independent RIA
- Eric Newman from Aegis Capital Corp.Mar 19, 2020 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Anthony Joseph Romano · Owner/Ceo/ Ccocontrolsince 12/2020 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westport, Ct | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 136 to 101Jan 31, 2025 to Jan 12, 2026
- HNW clients · unset to 31.0Jan 31, 2025 to Jan 12, 2026
- Individual clients · 136 to 70Jan 31, 2025 to Jan 12, 2026
- Financial planning clients · 0 to 1-10Jan 31, 2025 to Jan 12, 2026
- Discretionary RAUM · $101M to $142MJan 31, 2025 to Jan 12, 2026
- HNW RAUM · unset to 130067632.0Jan 31, 2025 to Jan 12, 2026
- Individual RAUM · $138M to $34.1MJan 31, 2025 to Jan 12, 2026
- Non-discretionary RAUM · $37.5M to $22.3MJan 31, 2025 to Jan 12, 2026
- RAUM · $138M to $164MJan 31, 2025 to Jan 12, 2026
- Accounts · 253 to 136Feb 9, 2024 to Jan 31, 2025
- Individual clients · 253 to 136Feb 9, 2024 to Jan 31, 2025
- Financial planning clients · 0 to 0Feb 9, 2024 to Jan 31, 2025
- HQ city · unset to Feb 9, 2024 to Jan 31, 2025
- HQ state · unset to Feb 9, 2024 to Jan 31, 2025
- State-registered IARs · 1 to 2Feb 9, 2024 to Jan 31, 2025
- Discretionary RAUM · $34.8M to $101MFeb 9, 2024 to Jan 31, 2025
- Individual RAUM · $139M to $138MFeb 9, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $104M to $37.5MFeb 9, 2024 to Jan 31, 2025
- RAUM · $139M to $138MFeb 9, 2024 to Jan 31, 2025
- Accounts · 211 to 253Feb 3, 2023 to Feb 9, 2024
- Advisory employees · 2 to 3Feb 3, 2023 to Feb 9, 2024
- BD registered reps · 2 to 0Feb 3, 2023 to Feb 9, 2024
- Individual clients · 211 to 253Feb 3, 2023 to Feb 9, 2024
- Employees · 2 to 3Feb 3, 2023 to Feb 9, 2024
- State-registered IARs · 2 to 1Feb 3, 2023 to Feb 9, 2024
- Other offices · 1 to 0Feb 3, 2023 to Feb 9, 2024
- Discretionary RAUM · $0 to $34.8MFeb 3, 2023 to Feb 9, 2024
- Individual RAUM · $117M to $139MFeb 3, 2023 to Feb 9, 2024
- Non-discretionary RAUM · $117M to $104MFeb 3, 2023 to Feb 9, 2024
- RAUM · $117M to $139MFeb 3, 2023 to Feb 9, 2024
- Related adviser · true to falseFeb 3, 2023 to Feb 9, 2024
- Accounts · 171 to 211Jul 21, 2022 to Feb 3, 2023
- Individual clients · 171 to 211Jul 21, 2022 to Feb 3, 2023
- Individual RAUM · $120M to $117MJul 21, 2022 to Feb 3, 2023
- Non-discretionary RAUM · $120M to $117MJul 21, 2022 to Feb 3, 2023
- RAUM · $120M to $117MJul 21, 2022 to Feb 3, 2023
- Accounts · 151 to 171Dec 1, 2021 to Feb 11, 2022
- Individual clients · 151 to 171Dec 1, 2021 to Feb 11, 2022
- Individual RAUM · $125M to $120MDec 1, 2021 to Feb 11, 2022
- Non-discretionary RAUM · $125M to $120MDec 1, 2021 to Feb 11, 2022
Signals
3 dated events
- Jon R Lee left Eagle Wealth Advisors for Accurate Wealth Management, Llc (registered 2022-06-24)Feb 1, 2024 · Advisor changed firm · fact
- Anthony Joseph Romano (Partner/Owner) appeared on Schedule A of Eagle Wealth AdvisorsDec 24, 2020 · Control person joined · fact
- Eagle Wealth Advisors filed its initial SEC registration (Form ADV)Sep 18, 2019 · 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
- Business email
- info@eaglewealthadvisor.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 860-854-7742reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- eaglewealthadvisor.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 860-462-0796reportedpublic record, Form ADV, May 28, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $54.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026