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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SEC-registered adviser
E••••••• W••••• M••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 7, 2023 · 20 filings
SEC status approved since Apr 18, 2023
RAUM
$513M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
97%
$499M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$103M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$513M as of Jun 12, 2026
Mar 27, 2024$346M then
HNW client RAUM$449M as of Jun 12, 2026
Mar 27, 2024$306M then
State-registered IARs (5.B.3)0 as of Jun 12, 2026
Mar 27, 20244 then
Employees (5.A)9 as of Jun 12, 2026
Mar 27, 20246 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 5 to 0
Practice profile
derived from the filing of Sep 17, 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
- $103MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $454,764derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -73%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $157M, 413 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
- is an insurance broker or agent (6.A.6)
- 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)
- 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$449M87%
- Individuals$50.2M9.8%
- Pension and profit-sharing plans$13.6M2.6%
- Charitable organizations$971,9560.2%
- Corporations and businesses$21,7790.0%
- Individual clients
- 190reported
- HNW clients
- 136reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,129reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $157M for 413 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J• H••• | Victor, Ny | May 2, 2023 | 24 y | 2 |
| D••••• F• A•••••••• | Victor, Ny | May 25, 2023 | 25 y | 3 |
| P•••• L• N••••• | Victor, Ny | Jul 14, 2023 | 39 y | 1 |
| M•••• H•••••Certified Financial Planner | Victor, Ny | Jun 27, 2024 | 13 y | 2 |
| J••• T••••• S••••••• | Virginia Beach, Va | Jun 4, 2026 | 18 y | 1 |
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- B••••••• A• B••••••••• to C•••••• P••••••• I••••••••• G•••• L••Jan 20, 2026 · RIA to RIA
Joined, latest
- J••• T••••• S••••••• from E••••• J••••Jun 4, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••• H••••• from C••••••••• F•••••••• N••••••Jun 27, 2024 · Affiliated broker-dealer or bank to independent RIA
- P•••• L• N••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 14, 2023 · Wirehouse to independent RIA
- D••••• F• A•••••••• from T•• I••••••••• A•••• M••••••••• 2• L••May 25, 2023 · RIA to a newly registered adviser
- D••••• J• H••• from T•• I••••••••• A•••• M••••••••• 2• L••May 2, 2023 · RIA to a newly registered adviser
- B••••••• A• B••••••••• from T•• I••••••••• A•••• M••••••••• 2• L••May 1, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from T•• I••••••••• A•••• M••••••••• 2• L••May 1, 2023 · Portland, Or
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••••• D•••••• F• · Founder/Managing Directorcontrolsince 03/2023 · owns less than 5%
- H•••• D•••••• J• · Founder/Managing Directorcontrolsince 03/2023 · owns 75% or more
- P••••••• C••••••••• G••••• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list E••••••• W••••• M••••••••• L•• as a related person
- 330384 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Victor, Ny · principal | 4 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Apr 21, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $438,067,982 to $513,429,017, advisors 5 to 0, private clients 1188 to 326, offices 2 to 2 (2025-03-28 to 2026-04-21)peers: independent wealth managers, $500M to $1B (1,482)
- advisor count dropChange between filings · filing Apr 21, 2026advisory representatives (Item 5.B.3) moved from 5.0 to 0.0 (-100.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was 0.0% (795 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 0.0% percentile
- client count collapseChange between filings · filing Apr 21, 2026individual and HNW clients (Item 5.D) moved from 1,188.0 to 326.0 (-73.0%) between the annual amendments of 2025-03-28 and 2026-04-21; the peer median change was +5.0% (1216 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,216) · 0.3% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 251-500 to 251-500Jun 12, 2026 to Sep 17, 2026
- Related adviser · false to unsetJun 12, 2026 to Sep 17, 2026
- Related bank · false to unsetJun 12, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetJun 12, 2026 to Sep 17, 2026
- Related insurance company · false to unsetJun 12, 2026 to Sep 17, 2026
- Succession · false to unsetJun 12, 2026 to Sep 17, 2026
- Accounts · 1,203 to 1,129Dec 22, 2025 to Mar 5, 2026
- Advisory employees · 6 to 4Dec 22, 2025 to Mar 5, 2026
- Charity clients · unset to 1.0Dec 22, 2025 to Mar 5, 2026
- Corporate clients · 9 to 2Dec 22, 2025 to Mar 5, 2026
- HNW clients · 404 to 136Dec 22, 2025 to Mar 5, 2026
- Individual clients · 784 to 190Dec 22, 2025 to Mar 5, 2026
- Pension plan clients · unset to 2.0Dec 22, 2025 to Mar 5, 2026
- Assets in custody · $438M to $157MDec 22, 2025 to Mar 5, 2026
- Employees · 10 to 9Dec 22, 2025 to Mar 5, 2026
- Financial planning clients · 0 to 251-500Dec 22, 2025 to Mar 5, 2026
- State-registered IARs · 5 to 0Dec 22, 2025 to Mar 5, 2026
- Discretionary RAUM · $438M to $496MDec 22, 2025 to Mar 5, 2026
- HNW RAUM · $359M to $449MDec 22, 2025 to Mar 5, 2026
- Individual RAUM · $67.5M to $50.2MDec 22, 2025 to Mar 5, 2026
- Non-discretionary RAUM · $0 to $17.2MDec 22, 2025 to Mar 5, 2026
- Pension RAUM · $9.6M to $13.6MDec 22, 2025 to Mar 5, 2026
- RAUM · $438M to $513MDec 22, 2025 to Mar 5, 2026
- Assets in custody · unset to 438067982.0Aug 26, 2025 to Nov 14, 2025
- Custody of client assets · false to trueAug 26, 2025 to Nov 14, 2025
- Financial planning clients · 0 to 0Aug 26, 2025 to Nov 14, 2025
- Accounts · 775 to 1,203Jan 16, 2025 to Mar 28, 2025
- Advisory employees · 4 to 6Jan 16, 2025 to Mar 28, 2025
- HNW clients · 505 to 404Jan 16, 2025 to Mar 28, 2025
- Individual clients · 259 to 784Jan 16, 2025 to Mar 28, 2025
- Pension plan clients · 2.0 to unsetJan 16, 2025 to Mar 28, 2025
- Employees · 6 to 10Jan 16, 2025 to Mar 28, 2025
- State-registered IARs · 4 to 5Jan 16, 2025 to Mar 28, 2025
- Discretionary RAUM · $346M to $438MJan 16, 2025 to Mar 28, 2025
- HNW RAUM · $306M to $359MJan 16, 2025 to Mar 28, 2025
- Individual RAUM · $35.5M to $67.5MJan 16, 2025 to Mar 28, 2025
- Pension RAUM · $3.1M to $9.6MJan 16, 2025 to Mar 28, 2025
- RAUM · $346M to $438MJan 16, 2025 to Mar 28, 2025
- Other offices · 1 to 2Apr 17, 2024 to Jan 16, 2025
- Accounts · 621 to 775Nov 16, 2023 to Mar 27, 2024
Signals
8 dated events
- B••••••• A• B••••••••• left E••••••• W••••• M••••••••• L•• for C•••••• P••••••• I••••••••• G•••• L•• (registered 2026-01-23)Jan 20, 2026 · Advisor changed firm · fact
- E••••••• W••••• M••••••••• L•• reported RAUM $346.5M, up 57% from $220.5M (2023-11-16 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of E••••••• W••••• M••••••••• L•• (listed 2023-05-01, absent 2023-07-14)Jul 14, 2023 · Control person left · inference
- George Christopher Plummer (Chief Compliance Officer) appeared on Schedule A of E••••••• W••••• M••••••••• L••Jul 14, 2023 · Control person joined · fact
- 2 advisors left T•• I••••••••• A•••• M••••••••• 2• L•• (Portland, OR) for E••••••• W••••• M••••••••• L•• on the same dayMay 1, 2023 · Team lift-out · derived
- Lea Michelle Eldridge (Chief Compliance Officer) no longer on Schedule A of E••••••• W••••• M••••••••• L•• (listed 2023-04-05, absent 2023-04-25)Apr 25, 2023 · Control person left · inference
- Leigh Stacy Sizemore (Chief Compliance Officer) appeared on Schedule A of E••••••• W••••• M••••••••• L••Apr 25, 2023 · Control person joined · fact
- E••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- E••••••• Welath Management · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business phone
- 585-565-4450reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 833-585-1396reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/elevatus-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 585-565-4450reportedpublic record, Form ADV, Sep 17, 2026
- Contact form
- ELEVATUSWEALTH.COM/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ELEVATUSWEALTH.COM/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $103Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026