DFX Intelligence
RIA Intelligence
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SEC-registered adviser
E•••••••• W••••• P••••••• L••
Latest filing Jul 23, 2026
First filing on the tape Mar 3, 2023 · 15 filings
SEC status approved since Apr 4, 2023
RAUM
$220M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$213M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$220M as of Jul 23, 2026
Feb 5, 2024$161M then
HNW client RAUM$185M as of Jul 23, 2026
Feb 5, 2024$145M then
State-registered IARs (5.B.3)2 as of Jul 23, 2026
Feb 5, 20242 then
Employees (5.A)2 as of Jul 23, 2026
Feb 5, 20242 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jul 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $73.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $816,399derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $77.6M, 42 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M84%
- Individuals$28.2M13%
- Pension and profit-sharing plans$3.4M1.6%
- Charitable organizations$3.1M1.4%
- Individual clients
- 56reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 269reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $77.6M for 42 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• F•••••• M••••••Certified Financial Planner | West Palm Beach, Fl | May 15, 2023 | 36 y | 2 |
| K•••• C••••• | Greenlawn, Ny | May 15, 2023 | 32 y | 1 |
| J••• G•••••• S•••••• M•••••• | West Palm Beach, Fl | Jul 23, 2026 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- K•••• C••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R••••• F•••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 15, 2023 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• R•••••• F•••••• · Principal And Chief Compliance Officercontrolsince 05/2023 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| West Palm Beach, Fl | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 235 to 269Mar 3, 2025 to Mar 11, 2026
- Advisory activities · 3 to 4Mar 3, 2025 to Mar 11, 2026
- HNW clients · 46 to 45Mar 3, 2025 to Mar 11, 2026
- Assets in custody · $48.5M to $77.6MMar 3, 2025 to Mar 11, 2026
- Discretionary RAUM · $191M to $220MMar 3, 2025 to Mar 11, 2026
- HNW RAUM · $167M to $185MMar 3, 2025 to Mar 11, 2026
- Individual RAUM · $23.2M to $28.2MMar 3, 2025 to Mar 11, 2026
- Pension RAUM · $910,000 to $3.4MMar 3, 2025 to Mar 11, 2026
- RAUM · $191M to $220MMar 3, 2025 to Mar 11, 2026
- Accounts · 221 to 235Feb 5, 2024 to Mar 3, 2025
- HNW clients · 43 to 46Feb 5, 2024 to Mar 3, 2025
- Individual clients · 45 to 56Feb 5, 2024 to Mar 3, 2025
- Assets in custody · $54.2M to $48.5MFeb 5, 2024 to Mar 3, 2025
- Financial planning clients · 0 to 1-10Feb 5, 2024 to Mar 3, 2025
- HQ city · unset to Feb 5, 2024 to Mar 3, 2025
- HQ state · unset to Feb 5, 2024 to Mar 3, 2025
- Discretionary RAUM · $161M to $191MFeb 5, 2024 to Mar 3, 2025
- HNW RAUM · $145M to $167MFeb 5, 2024 to Mar 3, 2025
- Individual RAUM · $14.8M to $23.2MFeb 5, 2024 to Mar 3, 2025
- Pension RAUM · $1.0M to $910,000Feb 5, 2024 to Mar 3, 2025
- RAUM · $161M to $191MFeb 5, 2024 to Mar 3, 2025
- Accounts · 203 to 221Sep 22, 2023 to Feb 5, 2024
- HNW clients · 45 to 43Sep 22, 2023 to Feb 5, 2024
- Individual clients · 15 to 45Sep 22, 2023 to Feb 5, 2024
- Pension plan clients · 3.0 to unsetSep 22, 2023 to Feb 5, 2024
- Assets in custody · unset to 54203000.0Sep 22, 2023 to Feb 5, 2024
- Custody of client assets · false to trueSep 22, 2023 to Feb 5, 2024
- Discretionary RAUM · $152M to $161MSep 22, 2023 to Feb 5, 2024
- HNW RAUM · $122M to $145MSep 22, 2023 to Feb 5, 2024
- Individual RAUM · $23.0M to $14.8MSep 22, 2023 to Feb 5, 2024
- Pension RAUM · $7.0M to $1.0MSep 22, 2023 to Feb 5, 2024
- RAUM · $152M to $161MSep 22, 2023 to Feb 5, 2024
- Accounts · 0 to 203May 15, 2023 to Jul 20, 2023
- HNW clients · unset to 45.0May 15, 2023 to Jul 20, 2023
- Individual clients · unset to 15.0May 15, 2023 to Jul 20, 2023
- Pension plan clients · unset to 3.0May 15, 2023 to Jul 20, 2023
- Other offices · 0 to 2May 15, 2023 to Jul 20, 2023
- Discretionary RAUM · $0 to $152MMay 15, 2023 to Jul 20, 2023
- HNW RAUM · unset to 122000000.0May 15, 2023 to Jul 20, 2023
- Individual RAUM · unset to 23000000.0May 15, 2023 to Jul 20, 2023
Signals
3 dated events
- Edward Christopher Winn (Managing Member) no longer on Schedule A of E•••••••• W••••• P••••••• L•• (listed 2023-05-15, absent 2023-05-15)May 15, 2023 · Control person left · inference
- Francis Robert M•••••• (Principal And Chief Compliance Officer) appeared on Schedule A of E•••••••• W••••• P••••••• L••May 15, 2023 · Control person joined · fact
- E•••••••• W••••• A••••••• L•• filed its initial SEC registration (Form ADV)Mar 3, 2023 · 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.
How to reach
public business contact points only, each with its source
- Website
- e•••••••••.netreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (561) 491-0518reportedpublic record, Form ADV, Jul 23, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $73.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026