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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Former SEC-registered adviser
E•••••• P•••••• W•••••
Latest filing Feb 6, 2026
First filing on the tape Jun 10, 2024 · 9 filings
SEC status approved since Jul 10, 2024
RAUM
$34.5M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
7.1%
$2.4M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$34.5M as of Feb 6, 2026
Mar 31, 2025$29.5M then
HNW client RAUM: $2.4M
State-registered IARs (5.B.3)1 as of Feb 6, 2026
Mar 31, 20251 then
Employees (5.A)3 as of Feb 6, 2026
Mar 31, 20251 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
- RAUM per advisor
- $34.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $203,333derivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assets, fixed feesreportedItem 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)
- 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
- Insurance companies$7.4M67%
- High-net-worth individuals$2.4M22%
- Corporations and businesses$1.2M11%
- Individual clients
- n/areported
- HNW clients
- 12reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 26reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- B•••• A••••• S••••••• to S•••••• A••••••••• L•••Mar 16, 2026 · Other
Joined, latest
- B•••• A••••• S••••••• from B• R•••• W••••• M•••••••••Apr 18, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S••••••• E••••• I•••••• · Ccocontrolsince 11/2024 · owns less than 5%
Entity owners
- W• P•• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Fort Lauderdale, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 36 to 26Jan 20, 2026 to Feb 6, 2026
- Advisory activities · 4 to 2Jan 20, 2026 to Feb 6, 2026
- BD registered reps · 0 to 1Jan 20, 2026 to Feb 6, 2026
- Corporate clients · 35 to 4Jan 20, 2026 to Feb 6, 2026
- HNW clients · unset to 12.0Jan 20, 2026 to Feb 6, 2026
- Employees · 1 to 3Jan 20, 2026 to Feb 6, 2026
- Insurance-licensed employees · 0 to 1Jan 20, 2026 to Feb 6, 2026
- Discretionary RAUM · $29.5M to $0Jan 20, 2026 to Feb 6, 2026
- HNW RAUM · unset to 2440000.0Jan 20, 2026 to Feb 6, 2026
- Non-discretionary RAUM · $0 to $34.5MJan 20, 2026 to Feb 6, 2026
- RAUM · $29.5M to $34.5MJan 20, 2026 to Feb 6, 2026
- Wrap assets (manager) · 0.0 to unsetJan 20, 2026 to Feb 6, 2026
- Wrap assets (sponsor) · 0.0 to unsetJan 20, 2026 to Feb 6, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Aug 19, 2025
- Accounts · 0 to 36Nov 11, 2024 to Mar 31, 2025
- Corporate clients · unset to 35.0Nov 11, 2024 to Mar 31, 2025
- HQ city · SARASOTA to NEW YORKNov 11, 2024 to Mar 31, 2025
- HQ state · FL to NYNov 11, 2024 to Mar 31, 2025
- Discretionary RAUM · $0 to $29.5MNov 11, 2024 to Mar 31, 2025
- RAUM · $0 to $29.5MNov 11, 2024 to Mar 31, 2025
Signals
5 dated events
- E•••••• P•••••• W••••• no longer on the SEC adviser roster (last listed 2026-08-03, RAUM $34.5M)Sep 1, 2026 · Left the SEC roster · derived
- B•••• A••••• S••••••• left E•••••• P•••••• W••••• for S•••••• A••••••••• L••• (registered 2026-04-02)Mar 16, 2026 · Advisor changed firm · fact
- J Adam Ausloos (Cco) no longer on Schedule A of E•••••• P•••••• W••••• (listed 2024-07-12, absent 2024-11-11)Nov 11, 2024 · Control person left · inference
- I•••••• E•••• S•••••• (Cco) appeared on Schedule A of E•••••• P•••••• W•••••Nov 11, 2024 · Control person joined · fact
- E•••••• P•••••• W••••• filed its initial SEC registration (Form ADV)Jun 10, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026