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••••• A•••••••• L••

STATE REGISTEREDNewport Beach, CaliforniaCRD 323825websiteIAPD
Latest filing May 18, 2026
First filing on the tape May 18, 2026 · 1 filings
RAUM
$29.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
65%
$19.1M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of May 18, 2026; every figure names its basis
RAUM per advisor
$9.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
24derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$269,431derivedHNW RAUM over HNW clients
Average account
$247,439derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$16.2M55%
  • Corporations and businesses$10.3M35%
  • High-net-worth individuals$3.0M10%
Individual clients
60reported
HNW clients
11reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
119reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• A•••••• T•••••••Newport Beach, CaNov 5, 202412 y2
J•••• M•••••• R•••••Newport Beach, CaMay 2, 202514 y2
M•••••• R••••• T•••••••••Newport Beach, CaJan 5, 202611 y0
J••• W•••••• J••••Newport Beach, CaMay 8, 202611 y0
Advisor movement
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
No Schedule A on the extract for this adviser.
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E•••••• W••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Newport Beach, Ca · principal420
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
4 dated events
  • 2 advisors left E•••••• C•••••• G••••• L•• (Newport Beach, CA) for E•••••• W••••• A•••••••• L•• on the same day
    Apr 9, 2025 · Team lift-out · derived
  • N••••••• P•••••• P•••••• left E•••••• W••••• A•••••••• L•• for S•••••••• A•••••••• L•• (registered 2025-05-19)
    Dec 3, 2024 · Advisor changed firm · fact
  • D•••• E•••• D•••••••• left E•••••• W••••• A•••••••• L•• for S•••••••• A•••••••• L•• (registered 2025-09-08)
    Dec 3, 2024 · Advisor changed firm · fact
  • 2 advisors left E•••••• W••••• A•••••••• L•• (Newport Beach, CA) for S•••••••• A•••••••• L•• on the same day
    Dec 3, 2024 · Team lift-out · derived
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
Website
e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone
(949) 876-5249reportedpublic record, Form ADV, May 18, 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
STATE REGISTEREDderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 15, 2026