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•••• R••• I••••••••• C••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Apr 30, 2021 · 18 filings
SEC status approved since Jun 1, 2021
RAUM
$787M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
71%
$558M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$262M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$787M as of Feb 25, 2026
Mar 14, 2022$516M then
HNW client RAUM$550M as of Feb 25, 2026
Mar 14, 2022$334M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Mar 14, 20222 then
Employees (5.A)4 as of Feb 25, 2026
Mar 14, 20223 then
Private funds: no history
RAUM +19% over the last fiscal year+19% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $262MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.7MderivedHNW RAUM over HNW clients
- Average account
- $4.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $34.8M, 14 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$550M70%
- Charitable organizations$221M28%
- Individuals$8.1M1.0%
- Corporations and businesses$7.8M1.0%
- Individual clients
- 14reported
- HNW clients
- 63reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 174reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.8M for 14 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.28 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• M•••••• F••••••Chartered Financial Analyst | Atlanta, Ga | Aug 30, 2021 | 22 y | 4 |
| C•••••• A••••• C••••••Chartered Financial Analyst | Atlanta, Ga | Oct 5, 2021 | 18 y | 1 |
| G••••• P• M•••••Chartered Financial Analyst | Atlanta, Ga | Aug 15, 2025 | 30 y | 3 |
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
- G••••• P• M••••• from R•••••• J•••• • A••••••••• I•••Aug 15, 2025 · Affiliated broker-dealer or bank to independent RIA
- C•••••• A••••• C•••••• from C••••••••• I••••••••• P•••••••• L••Oct 5, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••• A••••• · Partner And Chief Compliance Officercontrolsince 06/2022 · owns less than 5%
- F••••••• T•••••• M•••••• · Principalcontrolsince 04/2021 · owns less than 5%
- C•••••••• J•••• •••• · Partnercontrolsince 09/2011 · owns 25% to 50% of C•• H•••••••• L••
- F••••••• T•••••• M•••••• · Managing Membercontrolsince 04/2021 · owns 75% or more of J•••••• S••••• H•••••••• L••
Entity owners
- J•••••• S••••• H•••••••• L•• · Managing Memberdirect · owns 50% to 75%
- C•• H•••••••• L•• · Holding Company / Sole Memberindirect · owns 75% or more of C••••••••• I••••••••• P•••••••• L••
- B••• O•••• B••••••• V•••••••• I••• · Memberdirect · owns 10% to 25%
- C••••••••• I••••••••• P•••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E•••• R••• I••••••••• C••••••• L•• as a related person
- 111753 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Atlanta, Ga · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 168 to 174Oct 20, 2025 to Feb 25, 2026
- Advisory employees · 2 to 3Oct 20, 2025 to Feb 25, 2026
- HNW clients · 58 to 63Oct 20, 2025 to Feb 25, 2026
- Individual clients · 13 to 14Oct 20, 2025 to Feb 25, 2026
- Assets in custody · $20.6M to $34.8MOct 20, 2025 to Feb 25, 2026
- Employees · 3 to 4Oct 20, 2025 to Feb 25, 2026
- State-registered IARs · 2 to 3Oct 20, 2025 to Feb 25, 2026
- Discretionary RAUM · $650M to $777MOct 20, 2025 to Feb 25, 2026
- HNW RAUM · $458M to $550MOct 20, 2025 to Feb 25, 2026
- Individual RAUM · $7.6M to $8.1MOct 20, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $10.0M to $9.3MOct 20, 2025 to Feb 25, 2026
- RAUM · $660M to $787MOct 20, 2025 to Feb 25, 2026
- Accounts · 160 to 168Jan 25, 2024 to Feb 7, 2025
- HNW clients · 56 to 58Jan 25, 2024 to Feb 7, 2025
- Individual clients · 15 to 13Jan 25, 2024 to Feb 7, 2025
- Assets in custody · $16.4M to $20.6MJan 25, 2024 to Feb 7, 2025
- Financial planning clients · 11-25 to 1-10Jan 25, 2024 to Feb 7, 2025
- Discretionary RAUM · $517M to $650MJan 25, 2024 to Feb 7, 2025
- HNW RAUM · $351M to $458MJan 25, 2024 to Feb 7, 2025
- Individual RAUM · $7.5M to $7.6MJan 25, 2024 to Feb 7, 2025
- Non-discretionary RAUM · $10.4M to $10.0MJan 25, 2024 to Feb 7, 2025
- RAUM · $528M to $660MJan 25, 2024 to Feb 7, 2025
- Charity clients · 5 to 6Oct 18, 2023 to Jan 25, 2024
- HNW clients · 57 to 56Oct 18, 2023 to Jan 25, 2024
- Individual clients · 14 to 15Oct 18, 2023 to Jan 25, 2024
- Assets in custody · unset to 16442773.0Oct 18, 2023 to Jan 25, 2024
- Custody of client assets · false to trueOct 18, 2023 to Jan 25, 2024
- Discretionary RAUM · $460M to $517MOct 18, 2023 to Jan 25, 2024
- HNW RAUM · $304M to $351MOct 18, 2023 to Jan 25, 2024
- Individual RAUM · $6.9M to $7.5MOct 18, 2023 to Jan 25, 2024
- Non-discretionary RAUM · $8.3M to $10.4MOct 18, 2023 to Jan 25, 2024
- RAUM · $468M to $528MOct 18, 2023 to Jan 25, 2024
- Accounts · 132 to 160Sep 29, 2022 to Feb 10, 2023
- Corporate clients · 6.0 to unsetSep 29, 2022 to Feb 10, 2023
- HNW clients · 49 to 57Sep 29, 2022 to Feb 10, 2023
- Assets in custody · 12473717.0 to unsetSep 29, 2022 to Feb 10, 2023
- Custody of client assets · true to falseSep 29, 2022 to Feb 10, 2023
- Discretionary RAUM · $516M to $460MSep 29, 2022 to Feb 10, 2023
- HNW RAUM · $334M to $304MSep 29, 2022 to Feb 10, 2023
- Individual RAUM · $6.9M to $6.9MSep 29, 2022 to Feb 10, 2023
Signals
5 dated events
- E•••• R••• I••••••••• C••••••• L•• reported RAUM $660.0M, up 25% from $527.8M (2024-01-25 to 2025-02-07)Feb 7, 2025 · RAUM change · derived
- Andrew Cameron Clement (Partner And Chief Compliance Officer) appeared on Schedule A of E•••• R••• I••••••••• C••••••• L••Jul 18, 2022 · Control person joined · fact
- E•••• R••• I••••••••• C••••••• L•• reported RAUM $515.9M, up 176% from $187.0M (2022-01-10 to 2022-03-14)Mar 14, 2022 · RAUM change · derived
- 'Nmi' John Campbell (Partner) appeared on Schedule A of E•••• R••• I••••••••• C••••••• L••Aug 31, 2021 · Control person joined · fact
- E•••• R••• I••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Apr 30, 2021 · 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
- b••••••• phone
- 404-480-8578reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/eagle-rock-investment-company-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (404) 480-8578reportedpublic record, Form ADV, Feb 25, 2026
- Team page
- e•••••••••.comreportedpublished 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
- $262Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026