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••••• W•••••
Legal name N••• F••••••••• I••
Latest filing Dec 11, 2024
First filing on the tape Dec 15, 2021 · 24 filings
SEC status approved since Jan 14, 2022
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
7 advisory (5.B.1)
Offices
10
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$107M as of Mar 26, 2024
Mar 31, 2023$50.0M then
HNW client RAUM$85.0M as of Mar 26, 2024
Mar 31, 2023$45.6M then
State-registered IARs (5.B.3)7 as of Mar 26, 2024
Mar 31, 20234 then
Employees (5.A)19 as of Mar 26, 2024
Mar 31, 202321 then
Private funds: no history
RAUM +113% over the last fiscal yearIARs 4 to 7offices 0 to 10
Practice profile
derived from the filing of Dec 11, 2024; every figure names its basis
- RAUM per advisor
- $15.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $260,557derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 0.6derived11 offices incl. principal (1.F.5)
- RAUM growth, one year
- +113%derivedbetween the last two annual amendments
- Advisor growth, one year
- +75%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +229%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $14.5M, 22 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.0M80%
- Individuals$21.5M20%
- Individual clients
- 86reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 409reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $14.5M for 22 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
Left, latest
- S•••••• B••••••• to C••••••• P•••••••Jan 4, 2025 · RIA to RIA
- S•••• S••••• to A• W••••• M••••••••• L••Jan 3, 2024 · RIA to RIA
- M••••• A•••• H•••••• to G••••• R••••••••• P••••••• L••Dec 26, 2023 · Other
- C•••••• M•••••• C•••••• to N••• W••••• M••••••••• I•••Nov 14, 2022 · RIA to RIA
Joined, latest
- J••••••• F••••• from S••••••• C••••••• I••Sep 16, 2024 · Other
- C•••••• M•••• H••••••• from A••••• I••••••••• M•••••••••Sep 4, 2024 · RIA to RIA
- H•••••• E••••••• from S••••• W••••• A•••••••• I•••Nov 28, 2023 · Other
- R••• T••••• M•••••••• from F••••• I•••••••••Nov 6, 2023 · RIA to RIA
- J•••••• R••• P••••• from F•••• G••••• A••••••• L••Apr 10, 2023 · Other
- M••••• A•••• H•••••• from G••• L••• A•••••••• L••Jun 22, 2022 · RIA to RIA
- C•••••• M•••••• C•••••• from C•••••• S••••• • C••• I•••Jun 9, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••• T••• H••••• from C•••••• S••••• • C••• I•••Feb 9, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••• S•••• · Ceo / Foundercontrolsince 10/2021 · owns 10% to 25%
- M•••••• W••••••• G••••• · Chief Compliance Officer & Chief Wealth Officercontrolsince 12/2023 · owns less than 5%
Entity owners
- E••••• W••••• O•••••••• C••••••• I••• · Ownerdirect · owns 75% or more
- E••••• W••••• H••••••• G•• L•• · General Partnerindirect · owns F of E••••• W••••• H••••••• L•••
- E••••• W••••• H••••••• L••• · Ownerindirect · owns 75% or more of E••••• W••••• I••••••••• H•••••••• I•••
- E••••• W••••• I••••••••• H•••••••• I••• · Ownerindirect · owns 75% or more of E••••• W••••• O•••••••• C••••••• I•••
Related persons
Schedule D 7.A
- E••••• W••••• Advisors, LLCinvestment advisernRAUM $3.1B
- P••••••••• A•••••••• I•••LP sponsorn
- T• A••••••• L••insurancen
- V•••• F•••••••• I•••••••• S•••••••• L••real estaten
Advisers that list E••••• W••••• as a related person
- 108052 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 0 | 0 | 0 | ||
| Walnut Creek, Ca | 0 | 0 | 0 | ||
| Frisco, Tx | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Walnut Creek, CA11 employees
- , 1 employees
What changed
consecutive filings, newest first
- Other offices · 9 to 10Sep 16, 2024 to Dec 11, 2024
- Other offices · 8 to 9Mar 26, 2024 to Jul 22, 2024
- Related adviser · false to trueMar 26, 2024 to Jul 22, 2024
- Accounts · 125 to 409Jan 3, 2024 to Mar 26, 2024
- Advisory employees · 4 to 7Jan 3, 2024 to Mar 26, 2024
- HNW clients · 12 to 26Jan 3, 2024 to Mar 26, 2024
- Individual clients · 22 to 86Jan 3, 2024 to Mar 26, 2024
- Assets in custody · $0 to $14.5MJan 3, 2024 to Mar 26, 2024
- Employees · 21 to 19Jan 3, 2024 to Mar 26, 2024
- State-registered IARs · 4 to 7Jan 3, 2024 to Mar 26, 2024
- Other offices · 9 to 8Jan 3, 2024 to Mar 26, 2024
- Discretionary RAUM · $50.0M to $107MJan 3, 2024 to Mar 26, 2024
- HNW RAUM · $45.6M to $85.0MJan 3, 2024 to Mar 26, 2024
- Individual RAUM · $4.4M to $21.5MJan 3, 2024 to Mar 26, 2024
- RAUM · $50.0M to $107MJan 3, 2024 to Mar 26, 2024
- Other offices · 8 to 9Nov 3, 2023 to Nov 21, 2023
- Other offices · 7 to 8Aug 14, 2023 to Nov 3, 2023
- Other offices · 0 to 7Aug 9, 2023 to Aug 14, 2023
- Business name · F•••• F•••••••• to E••••• W•••••Aug 1, 2023 to Aug 9, 2023
- Other offices · 1 to 0Jun 5, 2023 to Aug 1, 2023
- Other offices · 0 to 1Mar 31, 2023 to Jun 5, 2023
- Accounts · 46 to 125Aug 17, 2022 to Mar 31, 2023
- HNW clients · 6 to 12Aug 17, 2022 to Mar 31, 2023
- Individual clients · 21 to 22Aug 17, 2022 to Mar 31, 2023
- Employees · 10 to 21Aug 17, 2022 to Mar 31, 2023
- Financial planning clients · 0 to 51-100Aug 17, 2022 to Mar 31, 2023
- State-registered IARs · 2 to 4Aug 17, 2022 to Mar 31, 2023
- Discretionary RAUM · $26.1M to $50.0MAug 17, 2022 to Mar 31, 2023
- HNW RAUM · $23.0M to $45.6MAug 17, 2022 to Mar 31, 2023
- Individual RAUM · $3.1M to $4.4MAug 17, 2022 to Mar 31, 2023
- RAUM · $26.1M to $50.0MAug 17, 2022 to Mar 31, 2023
- Accounts · 0 to 46Feb 9, 2022 to May 10, 2022
- Business name · N••• F••••••••• I•• to F•••• F••••••••Feb 9, 2022 to May 10, 2022
- HNW clients · unset to 6.0Feb 9, 2022 to May 10, 2022
- Individual clients · unset to 21.0Feb 9, 2022 to May 10, 2022
- Discretionary RAUM · $0 to $26.1MFeb 9, 2022 to May 10, 2022
- HNW RAUM · unset to 23000000.0Feb 9, 2022 to May 10, 2022
- Individual RAUM · unset to 3137700.0Feb 9, 2022 to May 10, 2022
- RAUM · $0 to $26.1MFeb 9, 2022 to May 10, 2022
- Financial planning clients · unset to 0Dec 15, 2021 to Jan 18, 2022
Signals
25 dated events
- E••••• W••••• no longer on the SEC adviser roster (last listed 2025-01-02, RAUM $106.6M)Feb 3, 2025 · Left the SEC roster · derived
- S•••••• B••••••• left E••••• W••••• for C••••••• P••••••• (registered 2026-01-01)Jan 4, 2025 · Advisor changed firm · fact
- Carson Knudsen Henderson no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Todd Alan Rouleau no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Nicholas Louis Gizzarelli no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- David Kristian Harlow no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Jared Mark Nelson no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- John Haden Werhan no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Joseph Eugene Kalinowski no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Barry Wilson Oliver no longer registered at E••••• W•••••; no later IA registration on IAPDJan 4, 2025 · Advisor departure · fact
- Golub Jed Cairo (Member) no longer on Schedule A of E••••• W••••• (listed 2024-03-26, absent 2024-07-22)Jul 22, 2024 · Control person left · inference
- Shin Patrick Chun (Member) no longer on Schedule A of E••••• W••••• (listed 2024-03-26, absent 2024-07-22)Jul 22, 2024 · Control person left · inference
- John Michael Millette (Managing Member) no longer on Schedule A of E••••• W••••• (listed 2024-03-26, absent 2024-07-22)Jul 22, 2024 · Control person left · inference
- S•••• S••••• left E••••• W••••• for A• W••••• M••••••••• L•• (registered 2024-08-12)Jan 3, 2024 · Advisor changed firm · fact
- M••••• A•••• H•••••• left E••••• W••••• for G••••• R••••••••• P••••••• L•• (registered 2024-09-19)Dec 26, 2023 · Advisor changed firm · fact
- A•••• M••••• H•••••• (Chief Compliance Officer, Director Of Operations & Trading) no longer on Schedule A of E••••• W••••• (listed 2023-11-21, absent 2023-12-05)Dec 5, 2023 · Control person left · inference
- Gerald William Martin (Chief Compliance Officer & Chief Wealth Officer) appeared on Schedule A of E••••• W•••••Dec 5, 2023 · Control person joined · fact
- E••••• W••••• reported 7 offices beyond its principal office, up from 0 (2023-08-09 to 2023-08-14)Aug 14, 2023 · Office count change · derived
- John Michael Millette (Managing Member) appeared on Schedule A of E••••• W•••••Mar 31, 2023 · Control person joined · fact
- C•••••• M•••••• C•••••• left E••••• W••••• for N••• W••••• M••••••••• I••• (registered 2023-04-13)Nov 14, 2022 · Advisor changed firm · fact
- Tran Myhanh Hoskin (Chief Compliance Officer) no longer on Schedule A of E••••• W••••• (listed 2022-06-17, absent 2022-08-02)Aug 2, 2022 · Control person left · inference
- A•••• M••••• H•••••• (Chief Compliance Officer, Director Of Operations & Trading) appeared on Schedule A of E••••• W•••••Aug 2, 2022 · Control person joined · fact
- Jed Cairo (Member) appeared on Schedule A of E••••• W•••••Jan 18, 2022 · Control person joined · fact
- Patrick Chun (Member) appeared on Schedule A of E••••• W•••••Jan 18, 2022 · Control person joined · fact
- N••• F••••••••• I•• filed its initial SEC registration (Form ADV)Dec 15, 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