DFX Intelligence

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E• C••••••• I•••••••••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $1.8M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-05-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $1.8M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +216%
Private clients: 100% of RAUM, $1.8M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-05-04 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +216% over the last fiscal year, to $1.8M.
2026-05-04
RAUM a year earlier $569,000RAUM now $1.8M
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 328068 · SEC 801-129550 · 7 filingsShow

CRD 328068SEC 801-129550Legal name E• C••••••• I••••••••• L••First filing on the tape Jan 23, 2024, latest May 4, 2026SEC status approved since Jul 26, 2024IAPD

RAUM

$1.8M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$1.8M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$1.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM$1.8M as of May 4, 2026

Feb 4, 2025$569,000 then

HNW client RAUM$1.0M as of May 4, 2026

Jan 14, 2026$700,000 then

State-registered IARs (5.B.3)1 as of May 4, 2026

Feb 4, 20251 then

Employees (5.A)2 as of May 4, 2026

Feb 4, 20251 then

Private funds: no history

RAUM +216% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of May 4, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $1.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 22derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $500,000derivedHNW RAUM over HNW clients
Average account: $81,818derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +164%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

has discretionary authority over which securities are bought or sold (8.C.1)
controlled by a public reporting company (10.A)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$1.0M56%
Individuals$800,00044%

Individual clients: 20reported
HNW clients: 2reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 22reported
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

1 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• D•••• H•••••	Orlando, Fl	Sep 10, 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

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• J•••••• · Directorcontrol
since 08/2020 · owns 50% to 75%
C•••••••• L•••••••• D•••• · Ccocontrol
since 08/2018 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 17 to 22
Jan 14, 2026 to May 4, 2026
Advisory employees · 1 to 2
Jan 14, 2026 to May 4, 2026
Individual clients · 15 to 20
Jan 14, 2026 to May 4, 2026
Employees · 1 to 2
Jan 14, 2026 to May 4, 2026
Discretionary RAUM · $800,000 to $1.8M
Jan 14, 2026 to May 4, 2026
HNW RAUM · $700,000 to $1.0M
Jan 14, 2026 to May 4, 2026
Non-discretionary RAUM · $700,000 to $0
Jan 14, 2026 to May 4, 2026
RAUM · $1.5M to $1.8M
Jan 14, 2026 to May 4, 2026
Advisory activities · 4 to 3
Feb 4, 2025 to Jan 14, 2026
BD registered reps · 1 to 0
Feb 4, 2025 to Jan 14, 2026
HNW clients · unset to 2.0
Feb 4, 2025 to Jan 14, 2026
Individual clients · unset to 15.0
Feb 4, 2025 to Jan 14, 2026
Assets in custody · $90,000 to $0
Feb 4, 2025 to Jan 14, 2026
Custody of client assets · true to false
Feb 4, 2025 to Jan 14, 2026
Discretionary RAUM · $69,000 to $800,000
Feb 4, 2025 to Jan 14, 2026
HNW RAUM · unset to 700000.0
Feb 4, 2025 to Jan 14, 2026
Individual RAUM · $569,000 to $800,000
Feb 4, 2025 to Jan 14, 2026
Non-discretionary RAUM · $500,000 to $700,000
Feb 4, 2025 to Jan 14, 2026
RAUM · $569,000 to $1.5M
Feb 4, 2025 to Jan 14, 2026
Accounts · 14 to 17
Jul 18, 2024 to Feb 4, 2025
Pooled vehicle clients · 14.0 to unset
Jul 18, 2024 to Feb 4, 2025
Assets in custody · $50,000 to $90,000
Jul 18, 2024 to Feb 4, 2025
Financial planning clients · 0 to 0
Jul 18, 2024 to Feb 4, 2025
HQ city · unset to
Jul 18, 2024 to Feb 4, 2025
HQ state · unset to
Jul 18, 2024 to Feb 4, 2025
State-registered IARs · 0 to 1
Jul 18, 2024 to Feb 4, 2025
Discretionary RAUM · $50,000 to $69,000
Jul 18, 2024 to Feb 4, 2025
Individual RAUM · unset to 569000.0
Jul 18, 2024 to Feb 4, 2025
Non-discretionary RAUM · $0 to $500,000
Jul 18, 2024 to Feb 4, 2025
Pooled vehicle RAUM · 50000.0 to unset
Jul 18, 2024 to Feb 4, 2025
RAUM · $50,000 to $569,000
Jul 18, 2024 to Feb 4, 2025
Accounts · 12 to 14
Feb 7, 2024 to May 16, 2024
Pooled vehicle clients · 12 to 14
Feb 7, 2024 to May 16, 2024
Assets in custody · $34,000 to $50,000
Feb 7, 2024 to May 16, 2024
Discretionary RAUM · $34,000 to $50,000
Feb 7, 2024 to May 16, 2024
Pooled vehicle RAUM · $34,000 to $50,000
Feb 7, 2024 to May 16, 2024
RAUM · $34,000 to $50,000
Feb 7, 2024 to May 16, 2024

Signals

2 dated events

••• Locked
Feb 7, 2024 · Control person joined · fact
••• Locked
Jan 23, 2024 · 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: ••• Lockedreportedpublic record, Form ADV, May 4, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 4, 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: $1.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026