DFX Intelligence

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E•••••••••

Independent wealth managerSEC-registered· New York, New Yorkwebsite

Independent wealth manager, based in New York, New York, reporting $1.4M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-04-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.4M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +43%
Private clients: 100% of RAUM, $1.4M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-04-02 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +43% over the last fiscal year, to $1.4M.
2026-04-02
RAUM a year earlier $992,361RAUM now $1.4M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 311264 · SEC 801-119983 · 11 filingsShow

CRD 311264SEC 801-119983Legal name E••••••••• I•••First filing on the tape Nov 16, 2020, latest Apr 2, 2026SEC status approved since Feb 26, 2021IAPD

RAUM

$1.4M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

100%

$1.4M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$1.4M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM$1.4M as of Apr 2, 2026

Mar 27, 2024$364,784 then

HNW client RAUM$0 as of Apr 2, 2026

Feb 28, 2022$0 then

State-registered IARs (5.B.3)0 as of Apr 2, 2026

Feb 28, 20220 then

Employees (5.A)5 as of Apr 2, 2026

Feb 28, 20223 then

Private funds: no history

RAUM +43% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Apr 2, 2026; every figure names its basis

Archetypes, each a printed rule

Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $1.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 579derivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $2,451derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 5.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +43%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program: $992,361reportedItem 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

receives research or other products from a broker-dealer, soft dollars (8.E)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Individuals$1.4M100%

Individual clients: 579reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 579reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $992,361 managedreported
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=1.0derived

Advisors registered through the firm

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S••• F••••• T••••••	New York, Ny	Oct 8, 2021	18 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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

K••••• U•••• · Directorcontrol
since 03/2020 · owns less than 5%
T••••••• S•••• F••••• · President, Cco, And Ceocontrol
since 03/2020 · owns 50% to 75%

Related persons

Schedule D 7.A

E••••••••• P••••••• L••
investment advisery

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Individual RAUM · $992,361 to $1.4M
Mar 25, 2025 to Apr 2, 2026
Non-discretionary RAUM · $992,361 to $1.4M
Mar 25, 2025 to Apr 2, 2026
RAUM · $992,361 to $1.4M
Mar 25, 2025 to Apr 2, 2026
Accounts · 279 to 579
Mar 27, 2024 to Mar 25, 2025
Advisory employees · 2 to 1
Mar 27, 2024 to Mar 25, 2025
Individual clients · 279 to 579
Mar 27, 2024 to Mar 25, 2025
Custody of client assets · true to false
Mar 27, 2024 to Mar 25, 2025
Financial planning clients · 0 to 0
Mar 27, 2024 to Mar 25, 2025
Discretionary RAUM · $364,784 to $0
Mar 27, 2024 to Mar 25, 2025
Individual RAUM · $364,784 to $992,361
Mar 27, 2024 to Mar 25, 2025
Non-discretionary RAUM · $0 to $992,361
Mar 27, 2024 to Mar 25, 2025
RAUM · $364,784 to $992,361
Mar 27, 2024 to Mar 25, 2025
Wrap assets (manager) · $0 to $992,361
Mar 27, 2024 to Mar 25, 2025
Accounts · unset to 279.0
Jun 15, 2023 to Mar 27, 2024
Individual clients · 0 to 279
Jun 15, 2023 to Mar 27, 2024
Discretionary RAUM · unset to 364784.0
Jun 15, 2023 to Mar 27, 2024
Individual RAUM · $0 to $364,784
Jun 15, 2023 to Mar 27, 2024
Non-discretionary RAUM · unset to 0.0
Jun 15, 2023 to Mar 27, 2024
RAUM · unset to 364784.0
Jun 15, 2023 to Mar 27, 2024
Business name · E••••••••• C•••••• to E•••••••••
Mar 30, 2023 to Apr 27, 2023
Assets in custody · unset to 0.0
Mar 30, 2023 to Apr 27, 2023
Custody of client assets · false to true
Mar 30, 2023 to Apr 27, 2023
BD registered reps · 0 to 1
Feb 28, 2022 to Mar 30, 2023
Assets in custody · 0.0 to unset
Feb 28, 2022 to Mar 30, 2023
Custody of client assets · true to false
Feb 28, 2022 to Mar 30, 2023
Employees · 3 to 5
Feb 28, 2022 to Mar 30, 2023
Related adviser · false to true
Feb 28, 2022 to Mar 30, 2023
Wrap assets (manager) · unset to 0.0
Feb 28, 2022 to Mar 30, 2023
Wrap assets (sponsor) · unset to 0.0
Feb 28, 2022 to Mar 30, 2023
Legal name · E••••••••• INC. to E••••••••• I•••
Mar 30, 2023 to Mar 30, 2023
HNW RAUM · unset to 0.0
Oct 8, 2021 to Feb 28, 2022
Individual RAUM · unset to 0.0
Oct 8, 2021 to Feb 28, 2022
Pension RAUM · unset to 0.0
Oct 8, 2021 to Feb 28, 2022
Pooled vehicle RAUM · unset to 0.0
Oct 8, 2021 to Feb 28, 2022

Signals

2 dated events

••• Locked
Mar 27, 2024 · Control person left · inference
••• Locked
Nov 16, 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.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Apr 2, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Apr 2, 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: $1.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026