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RIA Intelligence

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E••••• A••••••• L••

Independent wealth managerSEC-registered· San Jose, Californiawebsite

Independent wealth manager, based in San Jose, California, reporting $300 of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$300
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $300
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 338697 · SEC 801-134897 · 4 filingsShow
CRD 338697SEC 801-134897First filing on the tape Nov 5, 2025, latest Aug 20, 2026SEC status approved since Dec 8, 2025IAPD
RAUM
$300
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$300 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$300
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$300 as of Aug 20, 2026
Nov 5, 2025$0 then
HNW client RAUM$0 as of Aug 20, 2026
Nov 5, 2025$0 then
State-registered IARs (5.B.3)1 as of Aug 20, 2026
Nov 5, 20251 then
Employees (5.A)1 as of Aug 20, 2026
Nov 5, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 20, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$300derivedRAUM over IAPD advisors; not a book size
Clients per advisor
3derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$150derivedRAUM 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
1.0derived1 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 individuals, otherreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$300100%
Individual clients
3reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
reported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A••••• E•••San Jose, CaDec 8, 202513 y0
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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••• A••••• · Managing Member And Chief Compliance Officercontrol
        since 09/2025 · owns less than 5%
      Entity owners
      • E••••• I••• · Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 2
        Mar 13, 2026 to Apr 6, 2026
      • Individual clients · 0 to 3
        Mar 13, 2026 to Apr 6, 2026
      • Discretionary RAUM · $0 to $300
        Mar 13, 2026 to Apr 6, 2026
      • Individual RAUM · $0 to $300
        Mar 13, 2026 to Apr 6, 2026
      • RAUM · $0 to $300
        Mar 13, 2026 to Apr 6, 2026
      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
      Website
      ••• Lockedreportedpublic record, Form ADV, Aug 20, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Aug 20, 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
      $300derivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026