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••••••••• G•••• I•••
Latest filing Apr 22, 2026
First filing on the tape Jun 2, 2023 · 25 filings
SEC status approved since Jul 14, 2023
RAUM
$418M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$349M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$83.5M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$418M as of Apr 22, 2026
Mar 20, 2024$311M then
HNW client RAUM$251M as of Apr 22, 2026
Mar 20, 2024$176M then
State-registered IARs (5.B.3)5 as of Apr 22, 2026
Mar 20, 20243 then
Employees (5.A)8 as of Apr 22, 2026
Mar 20, 202412 then
Private funds: no history
RAUM +15% over the last fiscal yearIARs 3 to 5offices 3 to 2
Practice profile
derived from the filing of Apr 22, 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
- $83.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $864,414derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +67%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$251M60%
- Individuals$98.1M23%
- Charitable organizations$44.1M11%
- Pension and profit-sharing plans$14.0M3.3%
- State and municipal entities$9.2M2.2%
- Corporations and businesses$1.2M0.3%
- Individual clients
- 323reported
- HNW clients
- 129reported
- Pension plan clients
- 20reported
- Charitable clients
- 8reported
- Accounts
- 483reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••••• R•• E•••• | Valencia, Ca | Jul 27, 2023 | 26 y | 1 |
| J•••• P••• A•••••• | Valencia, Ca | Oct 30, 2023 | 15 y | 1 |
| S•••• P•••••• S•••••• | Valencia, Ca | Oct 30, 2023 | 25 y | 3 |
| R•••••• C••••••• N••••• | Charlotte, Nc | Jul 7, 2024 | 27 y | 2 |
| J••••• D•••••• E••••Certified Financial Planner | Valencia, Ca | Jan 1, 2025 | 12 y | 1 |
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
- J••••• D•••••• E•••• from C•••• C•••••• S••••••••• L•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- R•••••• C••••••• N••••• from C•••• C•••••• S••••••••• L•••Jul 7, 2024 · Affiliated broker-dealer or bank to independent RIA
- S•••• P•••••• S•••••• from C•••• C•••••• S••••••••• L•••Oct 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- J•••• P••• A•••••• from C•••• C•••••• S••••••••• L•••Oct 30, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••••• R•• E•••• from C•••• C•••••• S••••••••• L•••Jul 27, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••• C•••••• S••••••••• L•••Nov 20, 2023 · Charlotte, Nc
- 2 joined from C•••• C•••••• S••••••••• L•••Oct 12, 2023 · Los Angeles, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- E••••• D••••••• R•• · Owner & Ceocontrolsince 03/2023 · owns 50% to 75%
- E••••• J••••• K•• · Owner & Chief Compliance Officercontrolsince 03/2023 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Valencia, Ca · principal | 4 | 0 | 0 | ||
| Charlotte, Nc | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Charlotte, NC2 employees
- Charlotte, NC1 employees
- Valencia, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Apr 22, 2026employees (Item 5.A) moved from 12.0 to 8.0 (-33.0%) between the annual amendments of 2025-04-02 and 2026-04-22; the peer median change was 0.0% (507 comparable advisers, 5.0th percentile of changes)peers: independent wealth managers, $100M to $500M (507) · 4.9% percentile
What changed
consecutive filings, newest first
- Accounts · 456 to 483Jul 30, 2025 to Mar 30, 2026
- Advisory employees · 4 to 5Jul 30, 2025 to Mar 30, 2026
- Charity clients · 5 to 8Jul 30, 2025 to Mar 30, 2026
- HNW clients · 114 to 129Jul 30, 2025 to Mar 30, 2026
- Individual clients · 321 to 323Jul 30, 2025 to Mar 30, 2026
- Pension plan clients · 13 to 20Jul 30, 2025 to Mar 30, 2026
- Employees · 12 to 8Jul 30, 2025 to Mar 30, 2026
- State-registered IARs · 3 to 5Jul 30, 2025 to Mar 30, 2026
- Other offices · 3 to 2Jul 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $364M to $418MJul 30, 2025 to Mar 30, 2026
- HNW RAUM · $212M to $251MJul 30, 2025 to Mar 30, 2026
- Individual RAUM · $93.8M to $98.1MJul 30, 2025 to Mar 30, 2026
- Pension RAUM · $13.1M to $14.0MJul 30, 2025 to Mar 30, 2026
- RAUM · $364M to $418MJul 30, 2025 to Mar 30, 2026
- Financial planning clients · 0 to 0Apr 2, 2025 to Jul 30, 2025
- Accounts · 432 to 456Jan 22, 2025 to Apr 2, 2025
- HNW clients · 101 to 114Jan 22, 2025 to Apr 2, 2025
- Individual clients · 309 to 321Jan 22, 2025 to Apr 2, 2025
- Discretionary RAUM · $311M to $364MJan 22, 2025 to Apr 2, 2025
- HNW RAUM · $176M to $212MJan 22, 2025 to Apr 2, 2025
- Individual RAUM · $86.1M to $93.8MJan 22, 2025 to Apr 2, 2025
- Pension RAUM · $35.0M to $13.1MJan 22, 2025 to Apr 2, 2025
- RAUM · $311M to $364MJan 22, 2025 to Apr 2, 2025
- Accounts · 1,107 to 432Jan 18, 2024 to Mar 20, 2024
- Advisory employees · 2 to 4Jan 18, 2024 to Mar 20, 2024
- BD registered reps · 0 to 3Jan 18, 2024 to Mar 20, 2024
- Charity clients · 2 to 5Jan 18, 2024 to Mar 20, 2024
- HNW clients · 63 to 101Jan 18, 2024 to Mar 20, 2024
- Individual clients · 245 to 309Jan 18, 2024 to Mar 20, 2024
- Pension plan clients · 0 to 13Jan 18, 2024 to Mar 20, 2024
- Employees · 3 to 12Jan 18, 2024 to Mar 20, 2024
- State-registered IARs · 2 to 3Jan 18, 2024 to Mar 20, 2024
- Discretionary RAUM · $214M to $311MJan 18, 2024 to Mar 20, 2024
- HNW RAUM · $135M to $176MJan 18, 2024 to Mar 20, 2024
- Individual RAUM · $75.9M to $86.1MJan 18, 2024 to Mar 20, 2024
- Pension RAUM · $0 to $35.0MJan 18, 2024 to Mar 20, 2024
- RAUM · $214M to $311MJan 18, 2024 to Mar 20, 2024
- Other offices · 2 to 3Nov 15, 2023 to Jan 17, 2024
- Accounts · 210 to 1,107Nov 10, 2023 to Nov 14, 2023
- Charity clients · 0 to 2Nov 10, 2023 to Nov 14, 2023
Signals
5 dated events
- 3 advisors left C•••• C•••••• S••••••••• L••• (Charlotte, NC) for E•••• W••••• M••••••••• G•••• I••• on the same dayNov 20, 2023 · Team lift-out · derived
- 2 advisors left C•••• C•••••• S••••••••• L••• (Los Angeles, CA) for E•••• W••••• M••••••••• G•••• I••• on the same dayOct 12, 2023 · Team lift-out · derived
- Scott Jeffrey Cannizzaro (Chief Compliance Officer) no longer on Schedule A of E•••• W••••• M••••••••• G•••• I••• (listed 2023-07-13, absent 2023-07-24)Jul 24, 2023 · Control person left · inference
- Kay Joann E•••• (Owner & Chief Compliance Officer) appeared on Schedule A of E•••• W••••• M••••••••• G•••• I•••Jul 24, 2023 · Control person joined · fact
- E•••• W••••• M••••••••• G•••• I••• filed its initial SEC registration (Form ADV)Jun 2, 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
- Business phone
- 661-257-9800reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 661-257-9800reportedpublic record, Form ADV, Apr 22, 2026
- Contact form
- e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $83.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026