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••••••• L••
Latest filing Apr 14, 2026
First filing on the tape May 22, 2019 · 23 filings
SEC status approved since Jun 27, 2019
RAUM
$566M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
51%
$288M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$566M as of Apr 14, 2026
Mar 30, 2020$54.6M then
HNW client RAUM$259M as of Apr 14, 2026
Mar 30, 2020$5.4M then
State-registered IARs (5.B.3)5 as of Apr 14, 2026
Mar 30, 20200 then
Employees (5.A)5 as of Apr 14, 2026
Mar 30, 20203 then
Private funds: no history
RAUM +43% over the last fiscal year+18% a year over threeIARs 6 to 5offices 0 to 2
Practice profile
derived from the filing of Apr 14, 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
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- -17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $2.8M, 2 clientsreportedItem 9.A
- 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$259M46%
- Charitable organizations$224M40%
- Pension and profit-sharing plans$36.2M6.4%
- Individuals$29.2M5.2%
- Corporations and businesses$17.3M3.1%
- Individual clients
- 54reported
- HNW clients
- 92reported
- Pension plan clients
- 21reported
- Charitable clients
- 38reported
- Accounts
- 498reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.8M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.51 fund_share=0.0 institutional_share=0.46 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• L•••• S••••• | Brooklyn, Ny | Apr 15, 2021 | 38 y | 1 |
| A••• P•••••Chartered Financial Analyst | Brooklyn, Ny | Aug 31, 2021 | 22 y | 1 |
| M••••••• M••••• L••••• | Brooklyn, Ny | Aug 31, 2021 | 10 y | 0 |
| Z••••••• W••••• | Brooklyn, Ny | Sep 4, 2021 | 22 y | 1 |
| J•••• Y• H••••••••• | Lakewood, Nj | Nov 23, 2021 | 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
none on the tape
Joined, latest
- Z••••••• W••••• from R•• W••••• L••Sep 4, 2021 · Other
- A••• P••••• from V•• F•••••••• L••Aug 31, 2021 · Other
- S•••••• L•••• S••••• from W•••• F•••• A•••••••Apr 15, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• J•••• · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
- P•••••• A••• · Chief Investment Officer / Foundercontrolsince 05/2019 · owns 25% to 50%
- R•••• A•••••• · Foundercontrolsince 01/1978 · owns 50% to 75% of R••• • C••••••• L••
- W•••••• Z••••••• · Investment Adviser Representativesince 05/2019 · owns 10% to 25%
Entity owners
- R••• • C••••••• L•• · Co-Ownerdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Brooklyn, Ny · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Apr 14, 2026discretionary share of RAUM moved from 76.0% to 96.0% between the annual amendments of 2025-04-29 and 2026-04-14peers: independent wealth managers, $500M to $1B (1,482)
- RAUM up 25 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $396,653,120 to $566,026,178 (+43.0%) between the annual amendments of 2025-04-29 and 2026-04-14; the peer median change was +16.0% (1385 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 92% percentile
What changed
consecutive filings, newest first
- Accounts · 194 to 498Apr 29, 2025 to Mar 19, 2026
- Advisory employees · 6 to 5Apr 29, 2025 to Mar 19, 2026
- Charity clients · 33 to 38Apr 29, 2025 to Mar 19, 2026
- Corporate clients · 8 to 9Apr 29, 2025 to Mar 19, 2026
- HNW clients · 73 to 92Apr 29, 2025 to Mar 19, 2026
- Individual clients · 70 to 54Apr 29, 2025 to Mar 19, 2026
- Pension plan clients · 10 to 21Apr 29, 2025 to Mar 19, 2026
- Assets in custody · $7.8M to $2.8MApr 29, 2025 to Mar 19, 2026
- Employees · 6 to 5Apr 29, 2025 to Mar 19, 2026
- Financial planning clients · 11-25 to 26-50Apr 29, 2025 to Mar 19, 2026
- State-registered IARs · 6 to 5Apr 29, 2025 to Mar 19, 2026
- Other offices · 0 to 2Apr 29, 2025 to Mar 19, 2026
- Discretionary RAUM · $301M to $541MApr 29, 2025 to Mar 19, 2026
- HNW RAUM · $193M to $259MApr 29, 2025 to Mar 19, 2026
- Individual RAUM · $12.0M to $29.2MApr 29, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $95.5M to $24.5MApr 29, 2025 to Mar 19, 2026
- Pension RAUM · $27.7M to $36.2MApr 29, 2025 to Mar 19, 2026
- RAUM · $397M to $566MApr 29, 2025 to Mar 19, 2026
- Accounts · 137 to 194Feb 21, 2024 to Apr 29, 2025
- Charity clients · 28 to 33Feb 21, 2024 to Apr 29, 2025
- Corporate clients · 7 to 8Feb 21, 2024 to Apr 29, 2025
- HNW clients · 59 to 73Feb 21, 2024 to Apr 29, 2025
- Individual clients · 33 to 70Feb 21, 2024 to Apr 29, 2025
- Pension plan clients · 8 to 10Feb 21, 2024 to Apr 29, 2025
- Assets in custody · $24.1M to $7.8MFeb 21, 2024 to Apr 29, 2025
- Financial planning clients · 11-25 to 11-25Feb 21, 2024 to Apr 29, 2025
- Discretionary RAUM · $335M to $301MFeb 21, 2024 to Apr 29, 2025
- HNW RAUM · $186M to $193MFeb 21, 2024 to Apr 29, 2025
- Individual RAUM · $9.2M to $12.0MFeb 21, 2024 to Apr 29, 2025
- Non-discretionary RAUM · $14.7M to $95.5MFeb 21, 2024 to Apr 29, 2025
- Pension RAUM · $23.4M to $27.7MFeb 21, 2024 to Apr 29, 2025
- RAUM · $350M to $397MFeb 21, 2024 to Apr 29, 2025
- Accounts · 105 to 137Aug 21, 2023 to Feb 21, 2024
- Charity clients · 16 to 28Aug 21, 2023 to Feb 21, 2024
- Corporate clients · 5 to 7Aug 21, 2023 to Feb 21, 2024
- HNW clients · 51 to 59Aug 21, 2023 to Feb 21, 2024
- Individual clients · 66 to 33Aug 21, 2023 to Feb 21, 2024
- Pooled vehicle clients · unset to 0.0Aug 21, 2023 to Feb 21, 2024
- Assets in custody · $18.0M to $24.1MAug 21, 2023 to Feb 21, 2024
- Discretionary RAUM · $331M to $335MAug 21, 2023 to Feb 21, 2024
Signals
4 dated events
- E••••••• L•• reported RAUM $566.0M, up 43% from $396.7M (2025-04-29 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- E••••••• L•• reported RAUM $338.0M, up 128% from $148.0M (2021-02-22 to 2022-04-13)Apr 13, 2022 · RAUM change · derived
- Abraham Roth (Founder) appeared on Schedule A of E••••••• L••Jul 21, 2020 · Control person joined · fact
- E••••••• L•• filed its initial SEC registration (Form ADV)May 22, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 718-480-5650reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 718-480-5600reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/26200443/adminreportedpublic record, Form ADV, Sep 18, 2026
- Website
- equinum.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 718-480-5600reportedpublic record, Form ADV, Apr 14, 2026
- Contact form
- equinum.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- equinum.com/leadershipreportedpublished by the firm, firm site, Sep 15, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026