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•••• E•• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 311815SEC 801-120222IAPD
Latest filing Sep 27, 2022
First filing on the tape Dec 23, 2020 · 7 filings
RAUM
$31.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$30.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$31.2M as of Sep 27, 2022
Dec 23, 2020$1.5M then
HNW client RAUM$28.9M as of Sep 27, 2022
Dec 23, 2020$1.5M then
State-registered IARs (5.B.3)0 as of Sep 27, 2022
Dec 23, 20200 then
Employees (5.A)3 as of Sep 27, 2022
Dec 23, 20203 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 27, 2022; 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
$2.9MderivedHNW RAUM over HNW clients
Average account
$709,458derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$28.9M92%
  • Pension and profit-sharing plans$1.2M3.9%
  • Individuals$1.1M3.6%
Individual clients
4reported
HNW clients
10reported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
44reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
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•••••••• P••••••• J••••• · Managing Partner, Chief Compliance Officercontrol
      since 10/2020 · owns 25% to 50%
    • C••••••• W••••••• J••••• · Managing Partnercontrol
      since 10/2020 · owns 25% to 50%
    • M••••••• M••••• · Managing Partner, Chief Investment Officercontrol
      since 10/2020 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 7 to 44
      May 19, 2021 to Mar 18, 2022
    • Advisory employees · 3 to 1
      May 19, 2021 to Mar 18, 2022
    • HNW clients · 6 to 10
      May 19, 2021 to Mar 18, 2022
    • Individual clients · 1 to 4
      May 19, 2021 to Mar 18, 2022
    • Pension plan clients · unset to 1.0
      May 19, 2021 to Mar 18, 2022
    • Discretionary RAUM · $27.2M to $31.2M
      May 19, 2021 to Mar 18, 2022
    • HNW RAUM · $26.7M to $28.9M
      May 19, 2021 to Mar 18, 2022
    • Individual RAUM · $500,000 to $1.1M
      May 19, 2021 to Mar 18, 2022
    • Pension RAUM · unset to 1226039.0
      May 19, 2021 to Mar 18, 2022
    • RAUM · $27.2M to $31.2M
      May 19, 2021 to Mar 18, 2022
    • Accounts · 3 to 7
      Dec 23, 2020 to May 19, 2021
    • BD registered reps · 1 to 0
      Dec 23, 2020 to May 19, 2021
    • HNW clients · 3 to 6
      Dec 23, 2020 to May 19, 2021
    • Individual clients · unset to 1.0
      Dec 23, 2020 to May 19, 2021
    • Other offices · 2 to 3
      Dec 23, 2020 to May 19, 2021
    • Discretionary RAUM · $1.5M to $27.2M
      Dec 23, 2020 to May 19, 2021
    • HNW RAUM · $1.5M to $26.7M
      Dec 23, 2020 to May 19, 2021
    • Individual RAUM · unset to 500000.0
      Dec 23, 2020 to May 19, 2021
    • RAUM · $1.5M to $27.2M
      Dec 23, 2020 to May 19, 2021
    Signals
    2 dated events
    • M••••• M•••••• left E•••• E•• A••••••• L•• for S••••• M••••••••• (registered 2022-10-12)
      Nov 10, 2022 · Advisor changed firm · fact
    • E•••• E•• A••••••• L•• filed its initial SEC registration (Form ADV)
      Dec 23, 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