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•• I••••••••• L••

Former SEC-registered adviserCRD 319638SEC 801-124955websiteIAPD
Latest filing Feb 19, 2024
First filing on the tape Apr 5, 2022 · 12 filings
SEC status approved since Jun 30, 2022
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: $0
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 19, 2024
Feb 22, 20231 then
Employees (5.A)2 as of Feb 19, 2024
Feb 22, 20234 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 19, 2024; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • G•••••• J••••• M•••••• · Chief Compliance Officer/Director Of Operationscontrol
    since 02/2022 · owns less than 5%
  • W•••••• L•••• T•••••• · Founder/Ceocontrol
    since 02/2022 · owns 75% or more
  • D••••••••• E••••••• M•••••• · Owner
    since 03/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Long Lake, Mn000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0.0 to unset
    Nov 2, 2023 to Feb 19, 2024
  • Employees · 4 to 2
    Nov 2, 2023 to Feb 19, 2024
  • Discretionary RAUM · 0.0 to unset
    Nov 2, 2023 to Feb 19, 2024
  • Non-discretionary RAUM · 0.0 to unset
    Nov 2, 2023 to Feb 19, 2024
  • RAUM · 0.0 to unset
    Nov 2, 2023 to Feb 19, 2024
  • Accounts · unset to 0.0
    Oct 11, 2022 to Feb 22, 2023
  • Discretionary RAUM · unset to 0.0
    Oct 11, 2022 to Feb 22, 2023
  • Non-discretionary RAUM · unset to 0.0
    Oct 11, 2022 to Feb 22, 2023
  • RAUM · unset to 0.0
    Oct 11, 2022 to Feb 22, 2023
  • Employees · 3 to 4
    May 4, 2022 to May 25, 2022
Signals
3 dated events
  • E•••• E•• I••••••••• L•• no longer on the SEC adviser roster (last listed 2025-02-03)
    Mar 6, 2025 · Left the SEC roster · derived
  • D••••• P••• C•••••• left E•••• E•• I••••••••• L•• for O•••• I••••• P•••••••• L•• (registered 2023-09-22)
    Nov 6, 2023 · advisor firm c••••• · fact
  • E•••• E•• I••••••••• L•• filed its initial SEC registration (Form ADV)
    Apr 5, 2022 · 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