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•••••• C•••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Apr 25, 2025 · 6 filings
SEC status approved since Apr 23, 2025
RAUM
$65.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$62.0M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$21.8M
derived; firm RAUM over IAPD count
Employees
3
3 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$65.3M as of Jun 30, 2026
Apr 25, 2025$0 then
HNW client RAUM$59.2M as of Jun 30, 2026
Aug 21, 2025$23.9M then
State-registered IARs (5.B.3)3 as of Jun 30, 2026
Apr 25, 20250 then
Employees (5.A)3 as of Jun 30, 2026
Apr 25, 20251 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 3
Practice profile
derived from the filing of Jun 30, 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
- RAUM per advisor
- $21.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 13derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $320,275derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assets, hourly, 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)
- 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
- High-net-worth individuals$59.2M91%
- Corporations and businesses$3.4M5.2%
- Individuals$2.7M4.2%
- Individual clients
- 17reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 204reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• L••••• O•••••••• | Huntington, Ny | Apr 28, 2025 | 27 y | 4 |
| I•••••• M•••••• N•••••Certified Financial Planner | Sanford, Fl | Apr 17, 2026 | 16 y | 2 |
| M•••••• S•••••• L••••• | Orange City, Fl | Jun 25, 2026 | 29 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•••••• S•••••• L••••• from S••••• W••••• A•••••••• I•••Jun 25, 2026 · Other
- I•••••• M•••••• N••••• from S••••• W••••• A•••••••• I•••Apr 17, 2026 · Other
- A••• L••••• O•••••••• from O••••••••• • C•• I•••Apr 28, 2025 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Huntington, Ny · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 1 to 3Apr 7, 2026 to Jun 30, 2026
- Employees · 1 to 3Apr 7, 2026 to Jun 30, 2026
- State-registered IARs · 1 to 3Apr 7, 2026 to Jun 30, 2026
- Accounts · 82 to 204Aug 21, 2025 to Mar 27, 2026
- HNW clients · 10 to 21Aug 21, 2025 to Mar 27, 2026
- Individual clients · 15 to 17Aug 21, 2025 to Mar 27, 2026
- HQ city · MELVILLE to HUNTINGTONAug 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $30.6M to $65.3MAug 21, 2025 to Mar 27, 2026
- HNW RAUM · $23.9M to $59.2MAug 21, 2025 to Mar 27, 2026
- Individual RAUM · $6.6M to $2.7MAug 21, 2025 to Mar 27, 2026
- RAUM · $30.6M to $65.3MAug 21, 2025 to Mar 27, 2026
- Accounts · 0 to 82Jul 16, 2025 to Aug 21, 2025
- HNW clients · unset to 10.0Jul 16, 2025 to Aug 21, 2025
- Individual clients · unset to 15.0Jul 16, 2025 to Aug 21, 2025
- Financial planning clients · 0 to 0Jul 16, 2025 to Aug 21, 2025
- State-registered IARs · 0 to 1Jul 16, 2025 to Aug 21, 2025
- Discretionary RAUM · $0 to $30.6MJul 16, 2025 to Aug 21, 2025
- HNW RAUM · unset to 23948946.0Jul 16, 2025 to Aug 21, 2025
- Individual RAUM · unset to 6632439.0Jul 16, 2025 to Aug 21, 2025
- RAUM · $0 to $30.6MJul 16, 2025 to Aug 21, 2025
- Business name · E•••••• N••• A•••••••• L•• to E•••••• C•••• A•••••••• L••Apr 25, 2025 to Jul 16, 2025
- Legal name · E•••••• N••• A•••••••• L•• to E•••••• C•••• A•••••••• L••Apr 25, 2025 to Jul 16, 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
- 646-627-6030reportedpublic record, Form ADV, Jun 30, 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
- $21.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026