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•••• A•••••••
Legal name E•••• A••••••• L••
Latest filing Aug 15, 2022
First filing on the tape Dec 18, 2020 · 25 filings
RAUM
$19.8M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$19.8M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$9.9M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$19.8M as of Aug 15, 2022
Dec 18, 2020$0 then
HNW client RAUM$0 as of Aug 15, 2022
Dec 18, 2020$0 then
State-registered IARs (5.B.3)2 as of Aug 15, 2022
Dec 18, 20201 then
Employees (5.A)2 as of Aug 15, 2022
Dec 18, 20201 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 15, 2022; every figure names its basis
- RAUM per advisor
- $9.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $495,000derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%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
- 2.0derived1 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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- yesreportedItem 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
- 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
- Individuals$19.8M100%
- Individual clients
- 40reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 40reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• G•••• | Brooklyn, Ny | Apr 13, 2022 | 16 y | 0 |
| J••• G• W•••••Chartered Financial Consultant | Canyon Lake, Ca | Jan 23, 2026 | 12 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- J••• G• W••••• from C••••••••• F•••••••• N••••••Jan 23, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• P•••••• · Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- G••••• P•••••• · Ownercontrolsince 11/2019 · owns F of E• G••••• I•••
Entity owners
- E• G••••• I••• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••• S••••••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Brooklyn, Ny | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 2Aug 3, 2022 to Aug 15, 2022
- Assets in custody · unset to 0.0Aug 3, 2022 to Aug 15, 2022
- Custody of client assets · false to trueAug 3, 2022 to Aug 15, 2022
- Advisory employees · 3 to 2Jun 8, 2022 to Jun 8, 2022
- BD registered reps · 3 to 2Jun 8, 2022 to Jun 8, 2022
- Employees · 3 to 2Jun 8, 2022 to Jun 8, 2022
- State-registered IARs · 3 to 2Jun 8, 2022 to Jun 8, 2022
- Advisory activities · 2 to 3Apr 13, 2022 to May 20, 2022
- Accounts · 82 to 40Mar 22, 2022 to Apr 13, 2022
- BD registered reps · 2 to 3Mar 22, 2022 to Apr 13, 2022
- Individual clients · 82 to 40Mar 22, 2022 to Apr 13, 2022
- Discretionary RAUM · $25.0M to $18.7MMar 22, 2022 to Apr 13, 2022
- Individual RAUM · $26.0M to $19.8MMar 22, 2022 to Apr 13, 2022
- Non-discretionary RAUM · $1.0M to $1.1MMar 22, 2022 to Apr 13, 2022
- RAUM · $26.0M to $19.8MMar 22, 2022 to Apr 13, 2022
- HQ city · JERSEY CITY to NEW YORKMay 19, 2021 to Feb 18, 2022
- HQ state · NJ to NYMay 19, 2021 to Feb 18, 2022
- Accounts · 0 to 82Feb 18, 2021 to May 17, 2021
- Advisory employees · 1 to 3Feb 18, 2021 to May 17, 2021
- BD registered reps · 1 to 2Feb 18, 2021 to May 17, 2021
- Individual clients · 0 to 82Feb 18, 2021 to May 17, 2021
- Employees · 1 to 3Feb 18, 2021 to May 17, 2021
- Insurance-licensed employees · 1 to 0Feb 18, 2021 to May 17, 2021
- State-registered IARs · 1 to 3Feb 18, 2021 to May 17, 2021
- Discretionary RAUM · $0 to $25.0MFeb 18, 2021 to May 17, 2021
- Individual RAUM · $0 to $26.0MFeb 18, 2021 to May 17, 2021
- Non-discretionary RAUM · $0 to $1.0MFeb 18, 2021 to May 17, 2021
- RAUM · $0 to $26.0MFeb 18, 2021 to May 17, 2021
Signals
1 dated events
- E•••• A••••••• filed its initial SEC registration (Form ADV)Dec 18, 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
- essexadvisory.comreportedpublic record, Form ADV, Sep 19, 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $9.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026