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•••••••• C•••••• I•••
Latest filing Feb 21, 2025
First filing on the tape Jan 24, 2020 · 19 filings
SEC status approved since Feb 27, 2020
RAUM
$14.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$14.0M 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
1
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$14.0M as of Feb 21, 2025
Mar 2, 2021$50,000 then
HNW client RAUM$0 as of Feb 21, 2025
Mar 2, 2021$0 then
State-registered IARs (5.B.3)0 as of Feb 21, 2025
Mar 2, 20210 then
Employees (5.A)2 as of Feb 21, 2025
Mar 2, 20212 then
Private funds: no history
RAUM +56% over the last fiscal year+141% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 21, 2025; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $2,154derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%derived
- Compensation
- fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$14.0M100%
- Individual clients
- 6,500reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 6,500reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $14.0M managedreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• C•••• · Coocontrolsince 12/2019 · owns 25% to 50%
- W•••••• J••••• · Ceo & Chief Compliance Officercontrolsince 12/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL1 employees
What changed
consecutive filings, newest first
- Accounts · 5,200 to 6,500Feb 2, 2024 to Feb 21, 2025
- Individual clients · 5,200 to 6,500Feb 2, 2024 to Feb 21, 2025
- Financial planning clients · 0 to 0Feb 2, 2024 to Feb 21, 2025
- HQ city · unset to Feb 2, 2024 to Feb 21, 2025
- HQ state · unset to Feb 2, 2024 to Feb 21, 2025
- Discretionary RAUM · $9.0M to $14.0MFeb 2, 2024 to Feb 21, 2025
- Individual RAUM · $9.0M to $14.0MFeb 2, 2024 to Feb 21, 2025
- RAUM · $9.0M to $14.0MFeb 2, 2024 to Feb 21, 2025
- Wrap assets (manager) · $9.0M to $14.0MFeb 2, 2024 to Feb 21, 2025
- Accounts · 4,100 to 5,200Nov 10, 2023 to Feb 2, 2024
- Individual clients · 4,100 to 5,200Nov 10, 2023 to Feb 2, 2024
- Custody of client assets · true to falseNov 10, 2023 to Feb 2, 2024
- Financial planning clients · unset to 0Nov 10, 2023 to Feb 2, 2024
- HQ city · WARWICK to unsetNov 10, 2023 to Feb 2, 2024
- HQ state · NY to unsetNov 10, 2023 to Feb 2, 2024
- Discretionary RAUM · $3.5M to $9.0MNov 10, 2023 to Feb 2, 2024
- Individual RAUM · $3.5M to $9.0MNov 10, 2023 to Feb 2, 2024
- RAUM · $3.5M to $9.0MNov 10, 2023 to Feb 2, 2024
- Wrap assets (manager) · $1.0M to $9.0MNov 10, 2023 to Feb 2, 2024
- HQ city · BROOKLYN to WARWICKApr 10, 2023 to May 11, 2023
- Accounts · 3,000 to 4,100Feb 14, 2022 to Mar 27, 2023
- Individual clients · 3,000 to 4,100Feb 14, 2022 to Mar 27, 2023
- HQ city · CHICAGO to BROOKLYNFeb 14, 2022 to Mar 27, 2023
- HQ state · IL to NYFeb 14, 2022 to Mar 27, 2023
- Discretionary RAUM · $1.0M to $3.5MFeb 14, 2022 to Mar 27, 2023
- Individual RAUM · $1.0M to $3.5MFeb 14, 2022 to Mar 27, 2023
- RAUM · $1.0M to $3.5MFeb 14, 2022 to Mar 27, 2023
- Accounts · 601 to 3,000Jan 31, 2022 to Feb 14, 2022
- Individual clients · 601 to 3,000Jan 31, 2022 to Feb 14, 2022
- Assets in custody · $250 to $0Jan 31, 2022 to Feb 14, 2022
- Discretionary RAUM · $250,000 to $1.0MJan 31, 2022 to Feb 14, 2022
- Individual RAUM · $250,000 to $1.0MJan 31, 2022 to Feb 14, 2022
- RAUM · $250,000 to $1.0MJan 31, 2022 to Feb 14, 2022
- Wrap assets (manager) · $0 to $1.0MJan 31, 2022 to Feb 14, 2022
- HQ city · BROOKLYN to CHICAGOSep 27, 2021 to Jan 31, 2022
- HQ state · NY to ILSep 27, 2021 to Jan 31, 2022
- Accounts · 130 to 601Apr 16, 2021 to Jun 1, 2021
- Individual clients · 130 to 601Apr 16, 2021 to Jun 1, 2021
- Discretionary RAUM · $50,000 to $250,000Apr 16, 2021 to Jun 1, 2021
- Individual RAUM · $50,000 to $250,000Apr 16, 2021 to Jun 1, 2021
Signals
2 dated events
- E•••••••• C•••••• I••• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $14.0M)Aug 3, 2026 · Left the SEC roster · derived
- E•••••••• C•••••• I••• filed its initial SEC registration (Form ADV)Jan 24, 2020 · 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