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Former SEC-registered adviser

E•••••• C•••••• G••••• L••

Former SEC-registered adviserNewport Beach, CaliforniaCRD 332775SEC 801-131140websiteIAPD
Latest filing Jan 23, 2025
First filing on the tape Aug 19, 2024 · 6 filings
SEC status 120-day approval since Sep 20, 2024
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$0 as of Jan 23, 2025
Aug 19, 2024$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Jan 23, 2025
Aug 19, 20245 then
Employees (5.A)5 as of Jan 23, 2025
Aug 19, 20245 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 23, 2025; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••••• J••••• A•••••• · Ccocontrol
      since 07/2024 · owns less than 5%
    • I••••• J•••• T••••• · Ownercontrol
      since 01/2024 · owns 75% or more of O•• F•••••••• G••••• L••
    • P•••••••• S••••••• J••• · Ownercontrol
      since 11/2021 · owns 75% or more of E•••••• F•••••••• • I•••••••• S•••••••• L••
    • S••••••••• S••••••• C••••• · Ownercontrol
      since 12/2023 · owns 75% or more of S••••••••• H••••••• C•• L••
    • R•••••• J••••• M•••••• · Member
      since 07/2024 · owns 10% to 25%
    Entity owners
    • E•••••• F•••••••• • I•••••••• S•••••••• L•• · Managing Member
      direct · owns 50% to 75%
    • O•• F•••••••• G••••• L•• · Member
      direct · owns 10% to 25%
    • S••••••••• H••••••• C•• L•• · Member
      direct · owns 5% to 10%
    Related persons
    Schedule D 7.A
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Newport Beach, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Related adviser · false to true
      Aug 19, 2024 to Aug 23, 2024
    • Advisory employees · 5 to 2
      Aug 19, 2024 to Aug 19, 2024
    • Insurance-licensed employees · 2 to 1
      Aug 19, 2024 to Aug 19, 2024
    • State-registered IARs · 5 to 2
      Aug 19, 2024 to Aug 19, 2024
    Signals
    7 dated events
    • E•••••• C•••••• G••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06)
      May 2, 2025 · Left the SEC roster · derived
    • J•••• M•••••• R••••• left E•••••• C•••••• G••••• L•• for E•••••• W••••• A•••••••• L•• (registered 2025-05-02)
      Apr 9, 2025 · Advisor changed firm · fact
    • J•••• A•••••• T••••••• left E•••••• C•••••• G••••• L•• for E•••••• W••••• A•••••••• L•• (registered 2024-11-05)
      Apr 9, 2025 · Advisor changed firm · fact
    • 2 advisors left E•••••• C•••••• G••••• L•• (Newport Beach, CA) for E•••••• W••••• A•••••••• L•• on the same day
      Apr 9, 2025 · Team lift-out · derived
    • Thomas John Irvin (Owner) appeared on Schedule A of E•••••• C•••••• G••••• L••
      Aug 23, 2024 · Control person joined · fact
    • C••••• S•••••• S•••••••• (Owner) appeared on Schedule A of E•••••• C•••••• G••••• L••
      Aug 23, 2024 · Control person joined · fact
    • E•••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Aug 19, 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