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••••••••• C•••••• M•••••••••
Legal name E••••••••• L••
Latest filing Mar 9, 2026
First filing on the tape Aug 15, 2023 · 9 filings
SEC status approved since Sep 19, 2023
RAUM
$226M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$113M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$226M as of Mar 9, 2026
Mar 20, 2024$160M then
HNW client RAUM$218M as of Mar 9, 2026
Mar 20, 2024$156M then
State-registered IARs (5.B.3)2 as of Mar 9, 2026
Mar 20, 20242 then
Employees (5.A)2 as of Mar 9, 2026
Mar 20, 20242 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 9, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $113MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +26%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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
- High-net-worth individuals$218M97%
- Individuals$7.6M3.4%
- Individual clients
- 43reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 195reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••• K••••• K••••• | Bolingbrook, Il | Oct 2, 2023 | 10 y | 1 |
| O•••• A••••Chartered Financial Analyst | Bolingbrook, Il | Oct 2, 2023 | 20 y | 2 |
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
- N••••• K••••• K••••• from R••••• W••••• M•••••••••Oct 2, 2023 · RIA to RIA
- O•••• A•••• from R••••• W••••• M•••••••••Oct 2, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••• W••••• M•••••••••Oct 3, 2023 · Evanston, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• O•••• · Owner & Ccocontrolsince 08/2023 · owns 50% to 75%
- K•••••• N•••••• K••••• · Ownercontrolsince 08/2023 · 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 |
|---|---|---|---|---|---|
| Bolingbrook, Il | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 146 to 195Mar 6, 2025 to Mar 9, 2026
- HNW clients · 60 to 67Mar 6, 2025 to Mar 9, 2026
- Individual clients · 27 to 43Mar 6, 2025 to Mar 9, 2026
- Discretionary RAUM · $185M to $226MMar 6, 2025 to Mar 9, 2026
- HNW RAUM · $179M to $218MMar 6, 2025 to Mar 9, 2026
- Individual RAUM · $5.5M to $7.6MMar 6, 2025 to Mar 9, 2026
- RAUM · $185M to $226MMar 6, 2025 to Mar 9, 2026
- Accounts · 126 to 146Mar 20, 2024 to Mar 6, 2025
- HNW clients · 50 to 60Mar 20, 2024 to Mar 6, 2025
- Individual clients · 22 to 27Mar 20, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Mar 20, 2024 to Mar 6, 2025
- HQ city · unset to Mar 20, 2024 to Mar 6, 2025
- HQ state · unset to Mar 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $160M to $185MMar 20, 2024 to Mar 6, 2025
- HNW RAUM · $156M to $179MMar 20, 2024 to Mar 6, 2025
- Individual RAUM · $4.3M to $5.5MMar 20, 2024 to Mar 6, 2025
- RAUM · $160M to $185MMar 20, 2024 to Mar 6, 2025
- Accounts · 100 to 126Oct 20, 2023 to Mar 20, 2024
- Individual clients · 50 to 22Oct 20, 2023 to Mar 20, 2024
- Discretionary RAUM · $100M to $160MOct 20, 2023 to Mar 20, 2024
- HNW RAUM · $50.0M to $156MOct 20, 2023 to Mar 20, 2024
- Individual RAUM · $50.0M to $4.3MOct 20, 2023 to Mar 20, 2024
- RAUM · $100M to $160MOct 20, 2023 to Mar 20, 2024
Signals
2 dated events
- 2 advisors left R••••• W••••• M••••••••• (Evanston, IL) for E••••••••• C•••••• M••••••••• on the same dayOct 3, 2023 · Team lift-out · derived
- E••••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 15, 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 email
- i•••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 917-406-9128reportedpublic record, Form ADV, Mar 9, 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
- $113Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026