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•••• F•••••••• G••••

Former SEC-registered adviserCoral Springs, FloridaCRD 316323SEC 801-122301websiteIAPD
Legal name E•••• F•••••••• H••••••• C••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Aug 12, 2021 · 34 filings
SEC status approved since Sep 13, 2021
RAUM
$382M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
82%
$315M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$382M as of Mar 23, 2026
Jan 13, 2022$134M then
HNW client RAUM$209M as of Mar 23, 2026
Jan 13, 2022$89.6M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Jan 13, 20221 then
Employees (5.A)4 as of Mar 23, 2026
Jan 13, 20223 then
Private funds: no history
RAUM -1.8% over the last fiscal year+5.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
RAUM per advisor
$191MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
174derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$419,497derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-1.8%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-3.1%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$140M, 103 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$209M55%
  • Individuals$105M27%
  • Corporations and businesses$63.4M17%
  • Pension and profit-sharing plans$3.2M0.8%
  • Charitable organizations$1.1M0.3%
Individual clients
275reported
HNW clients
72reported
Pension plan clients
1reported
Charitable clients
1reported
Accounts
911reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$140M for 103 clientsreported
Compensation
% of AUM, hourlyreported
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
2 left, 0 joined in 12 months
net -2 in 12 months2 left in 90 days0 joined in 90 days10 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E••••• D••••••• J•• · Managing Member/Chief Compliance Officercontrol
    since 03/1996 · owns 75% or more
  • G•••••••• S••••• · Chief Operating Officer
    since 12/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Boca Raton, Fl0011
Coral Springs, Fl · principal001
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,283 to 911
    Apr 2, 2025 to Mar 23, 2026
  • Corporate clients · 8 to 5
    Apr 2, 2025 to Mar 23, 2026
  • HNW clients · 75 to 72
    Apr 2, 2025 to Mar 23, 2026
  • Individual clients · 283 to 275
    Apr 2, 2025 to Mar 23, 2026
  • Pension plan clients · 7 to 1
    Apr 2, 2025 to Mar 23, 2026
  • Assets in custody · $121M to $140M
    Apr 2, 2025 to Mar 23, 2026
  • Insurance-licensed employees · 2 to 0
    Apr 2, 2025 to Mar 23, 2026
  • Discretionary RAUM · $389M to $382M
    Apr 2, 2025 to Mar 23, 2026
  • HNW RAUM · $219M to $209M
    Apr 2, 2025 to Mar 23, 2026
  • Individual RAUM · $90.6M to $105M
    Apr 2, 2025 to Mar 23, 2026
  • Pension RAUM · $18.5M to $3.2M
    Apr 2, 2025 to Mar 23, 2026
  • RAUM · $389M to $382M
    Apr 2, 2025 to Mar 23, 2026
  • Financial planning clients · 251-500 to 251-500
    Feb 25, 2025 to Apr 2, 2025
  • Accounts · 1,953 to 1,283
    Jan 2, 2025 to Feb 25, 2025
  • Charity clients · 2 to 1
    Jan 2, 2025 to Feb 25, 2025
  • Corporate clients · 11 to 8
    Jan 2, 2025 to Feb 25, 2025
  • HNW clients · 732 to 75
    Jan 2, 2025 to Feb 25, 2025
  • Individual clients · 122 to 283
    Jan 2, 2025 to Feb 25, 2025
  • Pension plan clients · 2 to 7
    Jan 2, 2025 to Feb 25, 2025
  • Assets in custody · unset to 121108206.0
    Jan 2, 2025 to Feb 25, 2025
  • Custody of client assets · false to true
    Jan 2, 2025 to Feb 25, 2025
  • Financial planning clients · More than 500 to 251-500
    Jan 2, 2025 to Feb 25, 2025
  • Discretionary RAUM · $433M to $389M
    Jan 2, 2025 to Feb 25, 2025
  • HNW RAUM · $240M to $219M
    Jan 2, 2025 to Feb 25, 2025
  • Individual RAUM · $129M to $90.6M
    Jan 2, 2025 to Feb 25, 2025
  • Pension RAUM · $2.5M to $18.5M
    Jan 2, 2025 to Feb 25, 2025
  • RAUM · $433M to $389M
    Jan 2, 2025 to Feb 25, 2025
  • Advisory employees · 2 to 1
    Aug 15, 2024 to Jan 2, 2025
  • Employees · 5 to 4
    Aug 15, 2024 to Jan 2, 2025
  • State-registered IARs · 3 to 2
    Aug 15, 2024 to Jan 2, 2025
  • Other offices · 1 to 0
    Aug 9, 2024 to Aug 15, 2024
  • Advisory employees · 9 to 2
    Mar 21, 2024 to Aug 9, 2024
  • Employees · 12 to 5
    Mar 21, 2024 to Aug 9, 2024
  • State-registered IARs · 10 to 3
    Mar 21, 2024 to Aug 9, 2024
  • Other offices · 2 to 1
    Mar 21, 2024 to Aug 9, 2024
  • Accounts · 1,156 to 1,953
    Mar 12, 2024 to Mar 20, 2024
  • Corporate clients · 7 to 11
    Mar 12, 2024 to Mar 20, 2024
  • HNW clients · 25 to 732
    Mar 12, 2024 to Mar 20, 2024
  • Individual clients · 1,104 to 122
    Mar 12, 2024 to Mar 20, 2024
  • Pension plan clients · 3 to 2
    Mar 12, 2024 to Mar 20, 2024
Signals
17 dated events
  • E•••• F•••••••• G•••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $382.2M)
    Sep 1, 2026 · Left the SEC roster · derived
  • D•••••• J•• E•••• left E•••• F•••••••• G•••• for P••••••• A•••••••• L•• (registered 2026-07-01)
    Aug 11, 2026 · Advisor changed firm · fact
  • J•••••• K•• F••••••• left E•••• F•••••••• G•••• for P••••••• A•••••••• L•• (registered 2026-07-02)
    Aug 11, 2026 · Advisor changed firm · fact
  • 2 advisors left E•••• F•••••••• G•••• (Boca Raton, FL) for P••••••• A•••••••• L•• on the same day
    Aug 11, 2026 · Team lift-out · derived
  • M•••• J••••• B••••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-07-05)
    Aug 7, 2024 · Advisor changed firm · fact
  • D••••••• A•••••• M•••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-06-24)
    Jul 19, 2024 · Advisor changed firm · fact
  • A••• P••• M•••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-06-24)
    Jun 28, 2024 · Advisor changed firm · fact
  • J•••• T••••• O••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-06-24)
    Jun 28, 2024 · Advisor changed firm · fact
  • T•••• J•••• B••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-06-24)
    Jun 28, 2024 · Advisor changed firm · fact
  • D••••••• B••••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2025-01-01)
    Jun 28, 2024 · Advisor changed firm · fact
  • L•••••• J•••• T••••• left E•••• F•••••••• G•••• for P••• W••••• P••••••• (registered 2024-03-19)
    Jun 28, 2024 · Advisor changed firm · fact
  • E•••• F•••••••• G••••'s advisors moved to P••• W••••• P••••••• (Boca Raton, FL): 5 of 9 registered, on the same day
    Jun 28, 2024 · Firm absorbed (people side) · derived
  • E•••• F•••••••• G•••• reported RAUM $432.8M, up 34% from $322.4M (2024-03-12 to 2024-03-20)
    Mar 20, 2024 · RAUM change · derived
  • L•••• R•••••• H••••• left E•••• F•••••••• G•••• for V••••• A•••• M••••••••• (registered 2023-12-19)
    Nov 28, 2023 · Advisor changed firm · fact
  • E•••• F•••••••• G•••• reported RAUM $322.4M, up 141% from $133.5M (2023-02-02 to 2023-02-06)
    Feb 6, 2023 · RAUM change · derived
  • 5 advisors left E•••••••• A•••••••• L•• (Boca Raton, FL) for E•••• F•••••••• G•••• within 5 days
    Nov 2, 2022 · Team lift-out · derived
  • E•••• F•••••••• G•••• filed its initial SEC registration (Form ADV)
    Aug 12, 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.
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