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
N•••••• E••
Legal name N•••••• E••• I•••
Latest filing Mar 27, 2026
First filing on the tape Oct 28, 2024 · 4 filings
SEC status approved since Nov 27, 2024
RAUM
$16.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$5.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$16.1M as of Mar 27, 2026
Jan 24, 2025$7.1M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 27, 2026
Jan 24, 20253 then
Employees (5.A)2 as of Mar 27, 2026
Jan 24, 20253 then
Private funds: no history
RAUM +127% over the last fiscal yearIARs 3 to 2
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
- RAUM per advisor
- $5.4MderivedRAUM 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
- $16.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +127%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$16.1M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• J•••• · Chief Operating Officercontrolsince 01/2024 · owns 25% to 50%
- D••••••••• A••••••• J••• · Chief Marketing Officercontrolsince 01/2024 · owns 10% to 25%
- P••••••• W••••• F•••• · Ceo And Chief Compliance Officercontrolsince 01/2024 · owns 50% to 75%
Related persons
Schedule D 7.A
- A•••• M•••••••••investment advisernRAUM $20.2M
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Columbus, Tx | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Islamorada, FL1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jan 24, 2025 to Mar 27, 2026
- Employees · 3 to 2Jan 24, 2025 to Mar 27, 2026
- Insurance-licensed employees · 3 to 2Jan 24, 2025 to Mar 27, 2026
- HQ city · COLUMBUS to Jan 24, 2025 to Mar 27, 2026
- HQ state · TX to Jan 24, 2025 to Mar 27, 2026
- State-registered IARs · 3 to 2Jan 24, 2025 to Mar 27, 2026
- Discretionary RAUM · $7.1M to $16.1MJan 24, 2025 to Mar 27, 2026
- RAUM · $7.1M to $16.1MJan 24, 2025 to Mar 27, 2026
- Accounts · 0 to 1Oct 31, 2024 to Jan 24, 2025
- Financial planning clients · unset to Oct 31, 2024 to Jan 24, 2025
- Discretionary RAUM · $0 to $7.1MOct 31, 2024 to Jan 24, 2025
- RAUM · $0 to $7.1MOct 31, 2024 to Jan 24, 2025
- Legal name · N•••••• E••, INC to N•••••• E••• I•••Oct 28, 2024 to Oct 31, 2024
Signals
1 dated events
- N•••••• E•• filed its initial SEC registration (Form ADV)Oct 28, 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
- n•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 713-459-5254reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $5.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026