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••••••• A•••••••• I•••
Latest filing Mar 28, 2024
First filing on the tape Aug 1, 2022 · 8 filings
RAUM
$10,415
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10,415 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$10,415 as of Mar 28, 2024
Mar 31, 2023$0 then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 31, 20231 then
Employees (5.A)12 as of Mar 28, 2024
Mar 31, 202318 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 0
Practice profile
derived from the filing of Mar 28, 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
- $401derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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$10,415100%
- Individual clients
- 26reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $10,415 managedreported
- 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
Left, latest
- J••• W••••• B••••• to E•••••••• P••Apr 30, 2024 · RIA to RIA
- D••••••• F••• to E•••••••• P••Apr 8, 2024 · RIA to RIA
Joined, latest
- J••• W••••• B••••• from V•••• F•••••••• A•••••••• I•••Jun 27, 2023 · 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
- D••••••• D•••• M•••• · Co-Ciocontrolsince 03/2023 · owns less than 5%
- F••• J••••• L••••••• · Interim Chief Executive Officercontrolsince 04/2024 · owns less than 5%
- O••••••• S•••••• S• · Chief Legal Officer/General Counsel/Secretarycontrolsince 03/2023 · owns less than 5%
- S•••• T•••••• M•••••• · Evp, E•••••••• Business Linescontrolsince 03/2023 · owns less than 5%
- T•••••• B••••••• R••••••• · Co-Ciocontrolsince 03/2023 · owns less than 5%
- W•••••• J•••••• B• · Chief Financial Officercontrolsince 03/2024 · owns less than 5%
- M•••••• I•••• E••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- E••••••••• I••• · Shareholderdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Ac Wealth Partnersinvestment advisernRAUM $1.1B
- E•••••••• P••investment advisernRAUM $615B
- E•••••••• P•••••••• S••••••••• I•••investment advisernRAUM $17B
- E•••••••• R••••••••• S••••••••• L••investment advisernRAUM $16B
- E•••••••• S••••••••• I•••broker-dealern
- F•• A•••••••• I•••investment advisernRAUM $833M
- F••• M•••••• L••broker-dealern
- Q•• C•••••• M••••••••• I•••investment advisernRAUM $11B
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Berwyn, Pa | 0 | 0 | 0 | ||
| Chicago, Il · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Berwyn, PA3 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 26Dec 15, 2023 to Mar 28, 2024
- Advisory employees · 15 to 10Dec 15, 2023 to Mar 28, 2024
- Charity clients · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Corporate clients · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- HNW clients · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Individual clients · unset to 26.0Dec 15, 2023 to Mar 28, 2024
- Pension plan clients · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Employees · 18 to 12Dec 15, 2023 to Mar 28, 2024
- Insurance-licensed employees · 5 to 4Dec 15, 2023 to Mar 28, 2024
- State-registered IARs · 1 to 0Dec 15, 2023 to Mar 28, 2024
- Discretionary RAUM · $0 to $10,415Dec 15, 2023 to Mar 28, 2024
- HNW RAUM · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Individual RAUM · unset to 10415.0Dec 15, 2023 to Mar 28, 2024
- Pension RAUM · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · unset to 0.0Dec 15, 2023 to Mar 28, 2024
- RAUM · $0 to $10,415Dec 15, 2023 to Mar 28, 2024
- Wrap assets (manager) · $0 to $10,415Dec 15, 2023 to Mar 28, 2024
- Related broker-dealer · false to trueMar 31, 2023 to Sep 27, 2023
- Advisory employees · 10 to 15Aug 15, 2022 to Mar 31, 2023
- Employees · 12 to 18Aug 15, 2022 to Mar 31, 2023
- Insurance-licensed employees · 4 to 5Aug 15, 2022 to Mar 31, 2023
- State-registered IARs · 0 to 1Aug 15, 2022 to Mar 31, 2023
Signals
18 dated events
- J••• W••••• B••••• left E•••••••• E••••••• A•••••••• I••• for E•••••••• P•• (registered 2024-01-23)Apr 30, 2024 · Advisor changed firm · fact
- D••••••• F••• left E•••••••• E••••••• A•••••••• I••• for E•••••••• P•• (registered 2024-01-23)Apr 8, 2024 · Advisor changed firm · fact
- Lawrence James Fox (Interim Chief Executive Officer) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 28, 2024 · Control person joined · fact
- B. Joshua Warren (Chief Financial Officer) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 28, 2024 · Control person joined · fact
- D••••••• F••• (Principal) no longer on Schedule A of E•••••••• E••••••• A•••••••• I••• (listed 2023-12-15, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- C. William Crager (Ceo) no longer on Schedule A of E•••••••• E••••••• A•••••••• I••• (listed 2023-12-15, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Michael Robert Coppola (Chief Technology Officer) no longer on Schedule A of E•••••••• E••••••• A•••••••• I••• (listed 2023-12-15, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- David Joshua Mayer (Chief Operating Officer) no longer on Schedule A of E•••••••• E••••••• A•••••••• I••• (listed 2023-12-15, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- H Peter Darrigo (Chief Financial Officer) no longer on Schedule A of E•••••••• E••••••• A•••••••• I••• (listed 2023-12-15, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- David Joshua Mayer (Chief Operating Officer) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- S Shelly O'Brien (Chief Legal Officer/General Counsel/Secretary) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- Michael Thomas Sipp (Evp, Envestnet Business Lines) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- Marie Dana D'Auria (Co-Cio) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- Rockwell Brandon Thomas (Co-Cio) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- H Peter Darrigo (Chief Financial Officer) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- C. William Crager (Ceo) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- Michael Robert Coppola (Chief Technology Officer) appeared on Schedule A of E•••••••• E••••••• A•••••••• I•••Mar 31, 2023 · Control person joined · fact
- E•••••••• E••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Aug 1, 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