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•••••• F••••••••• L•• D•• E•••••• A•••• M•••••••••
Legal name E•••••• F••••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Mar 31, 2026 · 4 filings
SEC status approved since Mar 2, 2026
RAUM
$5.8B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$5.8B individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
6
4 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$5.8B as of May 11, 2026
Mar 31, 2026$0 then
HNW client RAUM$5.7B as of May 11, 2026
Apr 22, 2026$5.7B then
State-registered IARs (5.B.3)8 as of May 11, 2026
Mar 31, 20264 then
Employees (5.A)10 as of May 11, 2026
Mar 31, 20265 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 2, 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
- RAUM per advisor
- $1.5BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 243derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.8MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- 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
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.7B98%
- Individuals$68.6M1.2%
- Corporations and businesses$21.8M0.4%
- Charitable organizations$19.3M0.3%
- Individual clients
- 125reported
- HNW clients
- 847reported
- Pension plan clients
- n/areported
- Charitable clients
- 6reported
- Accounts
- 4,304reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• B••• S••••••• | Mclean, Va | Apr 28, 2026 | 20 y | 1 |
| L•••• J••• K••••Certified Financial Planner | Santa Cruz, Ca | Apr 28, 2026 | 20 y | 1 |
| J•••• R•••• D•••••••• | Mclean, Va | Apr 28, 2026 | 12 y | 1 |
| P•••••• T••••• C••••••Certified Financial Planner | Monterey, Ca | Apr 28, 2026 | 12 y | 1 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- J•••• R•••• D•••••••• from E•••••• A•••• M••••••••• L••Apr 28, 2026 · RIA to RIA
- D•••• B••• S••••••• from E•••••• A•••• M••••••••• L••Apr 28, 2026 · RIA to RIA
- P•••••• T••••• C•••••• from E•••••• A•••• M••••••••• L••Apr 28, 2026 · RIA to RIA
- L•••• J••• K•••• from E•••••• A•••• M••••••••• L••Apr 28, 2026 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from E•••••• A•••• M••••••••• L••Apr 23, 2026 · Carmel, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• K•••••••• L••• · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
- S•••••••• D••••• B••• · Owner, Investment Advisor Representativecontrolsince 02/2026 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Mclean, Va | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 8 to 4May 11, 2026 to Sep 2, 2026
- Employees · 10 to 6May 11, 2026 to Sep 2, 2026
- Financial planning clients · 0 to 0May 11, 2026 to Sep 2, 2026
- HQ city · to unsetMay 11, 2026 to Sep 2, 2026
- HQ state · to unsetMay 11, 2026 to Sep 2, 2026
- State-registered IARs · 8 to 4May 11, 2026 to Sep 2, 2026
- Related adviser · false to unsetMay 11, 2026 to Sep 2, 2026
- Related bank · false to unsetMay 11, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMay 11, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMay 11, 2026 to Sep 2, 2026
- Succession · false to unsetMay 11, 2026 to Sep 2, 2026
- Advisory employees · 4 to 8Apr 22, 2026 to May 11, 2026
- Employees · 6 to 10Apr 22, 2026 to May 11, 2026
- State-registered IARs · 4 to 8Apr 22, 2026 to May 11, 2026
- Accounts · 0 to 4,304Mar 31, 2026 to Apr 22, 2026
- Charity clients · unset to 6.0Mar 31, 2026 to Apr 22, 2026
- Corporate clients · unset to 2.0Mar 31, 2026 to Apr 22, 2026
- HNW clients · unset to 847.0Mar 31, 2026 to Apr 22, 2026
- Individual clients · unset to 125.0Mar 31, 2026 to Apr 22, 2026
- Employees · 5 to 6Mar 31, 2026 to Apr 22, 2026
- Discretionary RAUM · $0 to $5.8BMar 31, 2026 to Apr 22, 2026
- HNW RAUM · unset to 5737490697.0Mar 31, 2026 to Apr 22, 2026
- Individual RAUM · unset to 68616598.0Mar 31, 2026 to Apr 22, 2026
- Non-discretionary RAUM · $0 to $39.5MMar 31, 2026 to Apr 22, 2026
- RAUM · $0 to $5.8BMar 31, 2026 to Apr 22, 2026
- Related adviser · true to falseMar 31, 2026 to Apr 22, 2026
Signals
1 dated events
- E•••••• A•••• M••••••••• L••'s advisors moved to E•••••• F••••••••• L•• D•• E•••••• A•••• M••••••••• (Carmel, CA): 4 of 4 registered, on the same dayApr 23, 2026 · Firm absorbed (people side) · derived
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
- Business email
- s••••••@e•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 831-333-2060reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- E••••••ASSET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 831-333-2060reportedpublic record, Form ADV, Sep 2, 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
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026