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•• A••••••• L••
Legal name E•• A•••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Feb 22, 2025 · 6 filings
SEC status approved since Mar 20, 2025
RAUM
$1.1B
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$572M
derived; firm RAUM over IAPD count
Employees
3
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$1.1B as of Jul 8, 2026
Feb 22, 2025$0 then
HNW client RAUM$1.1B as of Jul 8, 2026
Jul 18, 2025$1.2B then
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Feb 22, 20250 then
Employees (5.A)3 as of Jul 8, 2026
Feb 22, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $572MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $381MderivedHNW RAUM over HNW clients
- Average account
- $381MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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
- 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
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B100%
- Individual clients
- n/areported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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 |
|---|---|---|---|---|
| Y•••••• B•••••• | Las Vegas, Nv | Apr 3, 2026 | 10 y | 1 |
| C•• P••• | San Francisco, Ca | Jun 2, 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••• J•••• · Ceocontrolsince 01/2025 · owns 75% or more
- B••••••• Y•••••• · Chief Compliance Officersince 06/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Francisco, Ca | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 8, 2026discretionary share of RAUM of 0% against a peer median of 99% (1362 comparable advisers, 0.0th percentile, 33.2 robust deviations)peers: independent wealth managers, $1B to $5B (1,362) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 1 to 2Apr 2, 2026 to Jun 20, 2026
- Accounts · 1 to 3Oct 24, 2025 to Apr 2, 2026
- HNW clients · 1 to 3Oct 24, 2025 to Apr 2, 2026
- HNW RAUM · $1.2B to $1.1BOct 24, 2025 to Apr 2, 2026
- Non-discretionary RAUM · $1.2B to $1.1BOct 24, 2025 to Apr 2, 2026
- RAUM · $1.2B to $1.1BOct 24, 2025 to Apr 2, 2026
- Financial planning clients · 0 to 0Jul 18, 2025 to Oct 24, 2025
- Accounts · 0 to 1Feb 22, 2025 to Jul 18, 2025
- Advisory activities · 2 to 1Feb 22, 2025 to Jul 18, 2025
- HNW clients · unset to 1.0Feb 22, 2025 to Jul 18, 2025
- Employees · 2 to 3Feb 22, 2025 to Jul 18, 2025
- HQ city · PORTLAND to Feb 22, 2025 to Jul 18, 2025
- HQ state · OR to Feb 22, 2025 to Jul 18, 2025
- HNW RAUM · unset to 1200000000.0Feb 22, 2025 to Jul 18, 2025
- Non-discretionary RAUM · $0 to $1.2BFeb 22, 2025 to Jul 18, 2025
- RAUM · $0 to $1.2BFeb 22, 2025 to Jul 18, 2025
Signals
No event on the tape.
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
- Principal office phone
- 720-936-3368reportedpublic record, Form ADV, Jul 8, 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
- $572Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026