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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

E•••••••• A•••••••• L••

National broker-dealer RIANew York, New YorkCRD 6627SEC 801-14065website IAPD

Latest filing Sep 11, 2026

First filing on the tape Nov 22, 2011 · 113 filings

SEC status approved since Sep 22, 1978

RAUM

$42B

reported, Item 5.F

Discretionary

50%

of RAUM

Private clients

97%

$41B individuals and HNW

Advisors

4,624

registered through the firm on IAPD

RAUM per advisor

$9.2M

derived; firm RAUM over IAPD count

Employees

5,674

4,664 advisory (5.B.1)

Offices

885

beyond the principal office

Private funds

reported on Schedule D

History

113 filings and snapshots on the tape

RAUM$42B as of Jul 1, 2026

Mar 30, 2012$9.1B then

HNW client RAUM$32B as of Jul 1, 2026

Feb 14, 2018$0 then

State-registered IARs (5.B.3)4,605 as of Jul 1, 2026

Apr 1, 20133,526 then

Employees (5.A)5,674 as of Jul 1, 2026

Apr 1, 20136,021 then

Private funds: no history

RAUM +23% over the last fiscal year+20% a year over threeIARs 4,254 to 4,605

Practice profile

derived from the filing of Sep 11, 2026; every figure names its basis

Archetypes, each a printed rule

Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
hnw wealth m•••••• · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

RAUM per advisor: $9.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 16derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $946,790derivedHNW RAUM over HNW clients
Average account: $448,969derivedRAUM over accounts (5.F.2.f)
Discretionary: 50%derivedof RAUM
Institutional: 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 5.2derived886 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +8.3%derivedItem 5.B.3 between annual amendments
Client growth, one year: +12%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $227M, 1,080 clientsreportedItem 9.A
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

is a broker-dealer (6.A.1)
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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$32B75%
Individuals$9.2B22%
Corporations and businesses$633M1.5%
Pension and profit-sharing plans$499M1.2%
Charitable organizations$257M0.6%

Individual clients: 38,280reported
HNW clients: 33,710reported
Pension plan clients: 455reported
Charitable clients: 196reported
Accounts: 94,626reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $227M for 1,080 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: curated national broker-dealer listderived

Advisors registered through the firm

4,638 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
S•••••• A•••••• M•••••••••	Palestine, Tx	May 4, 1984	42 y	0
R••••• F•••• Z••••	San A•••••, Tx	May 18, 1984	42 y	0
L••• G•••••• C••••••	Miami, Fl	Sep 18, 1986	27 y	0
A••••• B•••• C•••••	Weston, Fl	Nov 3, 1986	28 y	0
J•••• V•••••••••	El Paso, Tx	Nov 24, 1986	39 y	0
H••••• A••• S••••	S•••Sota, Fl	Mar 18, 1987	27 y	0
P••••••• A•••• H•••••	Beloit, Wi	Apr 10, 1987	43 y	0
C•••••• A••••• E•••••••	R••••••Son, Tx	Jul 27, 1987	39 y	0
M••• L••••• S••••••	Ft. Lauderdale, Fl	Aug 3, 1988	27 y	0
J••• C• N•••••	Dallas, Tx	Aug 2, 1989	39 y	0
J•••••• S•••••• D••••	Trinity, Fl	Oct 30, 1990	30 y	0
A•• C•••••••••	Wellington, Fl	Jan 17, 1991	34 y	0
L•••••• G••••••• V•••	Miami, Fl	Mar 12, 1991	30 y	0
P•••••• A••••• M••••••	Orlando, Fl	May 9, 1991	37 y	0
G••••••• L••• N•••••	Miami, Fl	Sep 12, 1991	27 y	0
V•••••• F•••••• B•••••••	Fairfield, Ct	Jan 22, 1992	42 y	0
H••• C•••••Certified Financial Planner, Chartered Financial Consultant	Miami, Fl	Feb 27, 1992	27 y	0
K••••• M••••• W••••	Corpus Christi, Tx	Mar 4, 1992	34 y	0
J•••• A•••••• C•••••••••	Milford, Ct	Jan 1, 1993	40 y	0
L••• M•••• R•••••	S•••Sota, Fl	Jan 14, 1993	27 y	0
I•• J•••• S•••••	Miami, Fl	Jan 28, 1993	27 y	0
T••••• W•••••• W•••••	De Pere, Wi	Mar 31, 1993	40 y	0
S•••••• H•••• K•••••Chartered Financial Consultant	Depere, Wi	Mar 31, 1993	39 y	0
E•••• M••••• B••••	Roanoke, Va	Apr 13, 1993	35 y	0
D••• J•••• R••••	Clearwater, Fl	May 14, 1993	35 y	0
G••• R••••• H•••	K•••, Wa	May 18, 1993	39 y	0
J•••••• D•••• M••••	Austin, Tx	Jun 22, 1993	33 y	0
D•••• N••••• J••••	Fort Collins, Co	Jul 13, 1993	33 y	0
J•• D•••• F•••••	Plano, Tx	Aug 3, 1993	33 y	0
A••••• R•••••• S••••••••	Fort P•••••, Fl	Sep 14, 1993	32 y	0
G•••••• K•••• K••••••	Dallas, Tx	Nov 9, 1993	32 y	0
S••••••• R••••• B••••••••	Yorktown, Va	Feb 2, 1994	35 y	0
J••••• H••••• M•••••	New Canaan, Ct	Mar 15, 1994	37 y	0
R•••••• B•••••••• M•••••	A•••••Son, Ny	Jul 13, 1994	34 y	0
J•••••• A••• M•••••••••	Dallas, Tx	Aug 15, 1994	32 y	0
J••••• M•••••• S•••••	Fort Myers, Fl	Oct 4, 1994	32 y	0
T••• M•••••• A•••••••	Black River Falls, Wi	Oct 19, 1994	35 y	0
M••••••• V•••• M•••••	Issaquah, Wa	Mar 9, 1995	37 y	0
M•••• D••• C••• V•••••	Miami, Fl	May 18, 1995	27 y	0
T•••••• G••••• R••••	S•••••S Point, Wi	Jun 8, 1995	34 y	1

All 4,638 advisors at E•••••••• A•••••••• L••

Advisor movement

561 left, 99 joined in 12 months

net -462 in 12 months83 left in 90 days27 joined in 90 daysdeparture rate 12% of current headcount1,395 left over 36 months

Left, latest

A••• B••••• T••• to J••• M••••• S••••••••• L••
Sep 18, 2026 · Affiliated broker-dealer or bank to wirehouse
C••••••••• U•••••••• to A••••••••• F•••••••• S•••••••• L••
Sep 18, 2026 · Affiliated broker-dealer or bank to another
D••••• M•••••• L•••••• to J••• M••••• S••••••••• L••
Sep 16, 2026 · Affiliated broker-dealer or bank to wirehouse
W•••••• N••• G•••••• to V•••••• F••••••••
Sep 15, 2026 · Affiliated broker-dealer or bank to independent RIA
A•••••• J••••• D•••••••• to V•••••• F••••••••
Sep 14, 2026 · Affiliated broker-dealer or bank to independent RIA
C•••••••• A•••••• G•••••• to V•••••• F••••••••
Sep 10, 2026 · Affiliated broker-dealer or bank to independent RIA
A•••••••• D••••• to S••••
Sep 9, 2026 · Affiliated broker-dealer or bank to independent RIA
J•••• S•••••• to C••••• I••••••••• A••••••• L••
Sep 9, 2026 · Affiliated broker-dealer or bank to another
Y•••••• N••••• to J••• M••••• S••••••••• L••
Sep 8, 2026 · Affiliated broker-dealer or bank to wirehouse
J•••• L••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Sep 4, 2026 · Affiliated broker-dealer or bank to wirehouse
J•••••• H•••••• to E••••• J••••
Sep 4, 2026 · Affiliated broker-dealer or bank to another
M••••••••• A••••••••• to J••• M••••• S••••••••• L••
Sep 3, 2026 · Affiliated broker-dealer or bank to wirehouse
M•••••• J••••• O•••••• to B••• B•• F•••••••• P••••••• • I•••••••••
Sep 3, 2026 · Affiliated broker-dealer or bank to independent RIA
J•••• C•••• A••••••••• to J••• M••••• S••••••••• L••
Sep 2, 2026 · Affiliated broker-dealer or bank to wirehouse
J••••• C•••••• J••••• to M••••• S••••••
Sep 2, 2026 · Affiliated broker-dealer or bank to wirehouse

Joined, latest

J•••• J••• S••••••• I• from P•••••••• W••••• A•••••••• L••
Sep 18, 2026 · Other
T••••• M•••• from S•••••••• A••••••• L••
Sep 16, 2026 · Affiliated broker-dealer or bank to another
G••••• N•••••••• V•••• from M•• I•••••••• S•••••••• L••
Sep 11, 2026 · Affiliated broker-dealer or bank to another
D•••• V•••••• B•••• from C•••••• S••••• • C••• I•••
Sep 11, 2026 · Affiliated broker-dealer or bank to another
J••••• A••••• C••••• from S•••••• A••••••••• L•••
Sep 11, 2026 · RIA to affiliated broker-dealer or bank
D••••• A• K••• from L•• E••••••••• L••
Sep 10, 2026 · Affiliated broker-dealer or bank to another
J••••• L•• M••••• from P••• A••••• S••••••••• L••
Sep 8, 2026 · Affiliated broker-dealer or bank to another
M•••••• S•••••••• from S•••••••• A••••••• L••
Aug 25, 2026 · Affiliated broker-dealer or bank to another
T•• E•••••• O••••• from S••••• I••••••••• A•••••••• L••
Aug 20, 2026 · Affiliated broker-dealer or bank to another
A•••••• C•••••••• P•••••• from M•• F•••••••• S•••••••• I•••
Aug 20, 2026 · Affiliated broker-dealer or bank to another
T••••• H••• from L•• F•••••••• L••
Aug 19, 2026 · Affiliated broker-dealer or bank to another
P•••••• T••••• E••••••• from W•••• F•••• A•••••••
Aug 14, 2026 · Wirehouse to affiliated broker-dealer or bank
D•••• B•••••• from L•••••• I•••••••••
Aug 11, 2026 · RIA to affiliated broker-dealer or bank
N•••• S••• B•••• E••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 7, 2026 · Wirehouse to affiliated broker-dealer or bank
R••••• R• R••••••• from M••••• S••••••
Aug 6, 2026 · Wirehouse to affiliated broker-dealer or bank

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

2 left for V•••••• F••••••••
Sep 10, 2026 · Dallas, Tx
2 left for J••• M••••• S••••••••• L••
Sep 2, 2026 · Melville, Ny
2 left for M•• I•••••••• S•••••••• L••
Aug 11, 2026 · New York, Ny
2 left for M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
Aug 3, 2026 · Melville, Ny
2 left for T• P•••••• C••••• W••••• L••
Jul 15, 2026 · Melville, Ny
2 left for M•• I•••••••• S•••••••• L••
Jul 6, 2026 · New York, Ny
2 left for 3•• I••••••••• A•••••••• L••
Jun 9, 2026 · Scottsdale, Az
2 left for M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
May 22, 2026 · San F••••••Co, Ca

2 joined from A••••••••• F•••••••• S•••••••• L••
Jul 29, 2026 · Monrovia, Ca
2 joined from S••••••• F•••••••• A•••••••• I•••
Jul 23, 2026 · Poway, Ca
2 joined from O•••• W•••••• I•••
Jan 8, 2026 · Tully, Ny
2 joined from T•• B•••••• G•••• W••••• A•••••••• L••
Jan 2, 2026 · Irvine, Ca
2 joined from W••••• A••••••• G••••• I•••
Nov 26, 2025 · W••••, Pa
2 joined from O•••• W•••••• I•••
Aug 7, 2025 · Florence, Ky
2 joined from O•••• W•••••• I•••
Jul 14, 2025 · Scottsdale, Az
4 joined from O•••• W•••••• I•••
Jun 4, 2025 · Orange Village, Oh

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• M••••••• E•••••••• · Chief Risk Officercontrol
since 11/2018 · owns less than 5%
B•••••• P••••••• A•••• · Broker Dealer Chief Compliance Officercontrol
since 02/2019 · owns less than 5%
B•••••••• R•••• E••••• I• · Chief Privacy Officercontrol
since 05/2018 · owns less than 5%
C•••••• C•••••••• J•••• · Vice President And General Counselcontrol
since 02/2019 · owns less than 5%
J••••• G••• M•••• · Vice President And Financial Crime Officercontrol
since 02/2014 · owns less than 5%
K•••• D•••• W••••••• · Chairman Of The Board And Chief Executive Officercontrol
since 09/2014 · owns less than 5%
L•••• N••••••• B•••••• · Directorcontrol
since 05/2019 · owns less than 5%
L••••••• C••••••••• J••• · Investment Advisor Chief Compliance Officercontrol
since 02/2019 · owns less than 5%
M••••• F•••• A••••• J• · President/Directorcontrol
since 10/2018 · owns less than 5%
M•••••• J•••• P•••••• · Chief Sales Officercontrol
since 09/2014 · owns less than 5%
S•••••••• A•••• J••••• · Directorcontrol
since 07/2018 · owns less than 5%
S••••••••• C•••••• L••• · Controller/Finop/P•••••••• Financial Officercontrol
since 05/2020 · owns less than 5%
S••••• J••• L••• · Assistant Vice Presidentcontrol
since 07/1999 · owns less than 5%
Z••••• Y•• · Directorcontrol
since 07/2022 · owns less than 5%
Z•••••••• T•••• · Vice President, P•••••••• Operations Officercontrol
since 01/2024 · owns less than 5%

Entity owners

E•••••••• D••••••••• H•••••• C••••••••• · Member
direct · owns 75% or more
E•••••••• F•••••••• S•••••••• L•• · Sh•••Holder
indirect · owns 75% or more of E•••••••• D••••••••• H•••••• C•••••••••
E•••••••• H•••••••• I••• · Member
indirect · owns 75% or more of E•••••••• F•••••••• S•••••••• L•• · public reporting company

Related persons

Schedule D 7.A

A• B•••••• S••••••••• L••• M•••••• L••
investment advisernRAUM $2.6B
A• C••••• I••••••••• L•
investment advisernRAUM $18B
A• C••••• A••••••••• S•••••••• L••
investment adviserbanknRAUM $1.4B
A• P•••••• C••••• I•••••••• L••
investment advisernRAUM $11B
A••••••••• C•••••••••
investment advisern
A••••••••• H•••••• L•••
investment advisern
A••••••••• I••••••••• I•••
broker-dealerreal estaten
A••••••••• L•••
investment adviserbankpooled vehicle sponsornRAUM $763B
B•••••••• I••••••••• S••••••• L••
broker-dealerinvestment advisern
E•••••••• D••••••••• L••
broker-dealerreal estaten
E•••••••• F•••••••• L••• I•••••••• C••••••
real estaten
E•••••••• I••••••••• M••••••••• G••••• L••
investment adviserbanknRAUM $167B
P••••••••• A•••• M••••••••• C•••••••••
investment advisern
P••••••••• S••••••••• C•••••••••
broker-dealerinvestment adviserreal estatenRAUM $10B
S•••••• C• B•••••••• • C••• L••
broker-dealerinvestment adviserbanktrust companynRAUM $1.2B

Advisers that list E•••••••• A•••••••• L•• as a related person

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out
New York, Ny · principal	344	89	46	7
Bala Cynwyd, Pa	176	30	15	1
Melville, Ny	167	28	19	4
W••••••Sville, Ny	110	13	12
Oak Brook, Il	98	30	5
Woodbridge, Nj	97	17	22	4
Bellevue, Wa	87	24	22
Wellesley, Ma	76	55	6
Charlotte, Nc	75	13	14	1
Syracuse, Ny	74	16	16	2
Rochester, Ny	72	17	7
Troy, Mi	67	11	11
Irvine, Ca	67	13	2
Dallas, Tx	65	16	23	3
San F••••••Co, Ca	58	15	17	2
Columbia, Md	58	15	12
Miami, Fl	58	13	2
Pittsburgh, Pa	55	11	3
Los Angeles, Ca	55	14	9
Independence, Oh	55	16	8	1

Offices

Schedule D 1.F, the 25 largest

New York, NY634 employees
Dallas, TX442 employees
Bala Cynwyd, PA435 employees
Woodbridge, NJ426 employees
W••••••Sville, NY393 employees
Irvine, CA243 employees
Oak Brook, IL236 employees
Cleveland, OH229 employees
Charlotte, NC211 employees
Troy, MI186 employees
Miami, FL174 employees
San F••••••Co, CA170 employees
Bellevue, WA164 employees
Wellesley, MA153 employees
Pittsburgh, PA129 employees
Scottsdale, AZ120 employees
Falls Church, VA119 employees
Englewood, CO114 employees
Columbia, MD110 employees
Milwaukee, WI108 employees
Orlando, FL97 employees
Atlanta, GA86 employees
Minneapolis, MN82 employees
Stamford, CT74 employees
Omaha, NE59 employees

What changed

consecutive filings, newest first

Financial planning clients · 251-500 to 251-500
Jul 1, 2026 to Sep 11, 2026
Succession · false to unset
Jul 1, 2026 to Sep 11, 2026
Accounts · 89,151 to 94,626
Feb 11, 2026 to Mar 31, 2026
Advisory employees · 4,272 to 4,664
Feb 11, 2026 to Mar 31, 2026
BD registered reps · 5,729 to 5,656
Feb 11, 2026 to Mar 31, 2026
Charity clients · 201 to 196
Feb 11, 2026 to Mar 31, 2026
Corporate clients · 343 to 370
Feb 11, 2026 to Mar 31, 2026
HNW clients · 31,584 to 33,710
Feb 11, 2026 to Mar 31, 2026
Individual clients · 36,854 to 38,280
Feb 11, 2026 to Mar 31, 2026
Pension plan clients · 450 to 455
Feb 11, 2026 to Mar 31, 2026
Assets in custody · $226M to $227M
Feb 11, 2026 to Mar 31, 2026
Employees · 5,876 to 5,674
Feb 11, 2026 to Mar 31, 2026
Insurance-licensed employees · 35 to 29
Feb 11, 2026 to Mar 31, 2026
State-registered IARs · 4,254 to 4,605
Feb 11, 2026 to Mar 31, 2026
Discretionary RAUM · $18B to $21B
Feb 11, 2026 to Mar 31, 2026
HNW RAUM · $28B to $32B
Feb 11, 2026 to Mar 31, 2026
Individual RAUM · $8.6B to $9.2B
Feb 11, 2026 to Mar 31, 2026
Non-discretionary RAUM · $20B to $21B
Feb 11, 2026 to Mar 31, 2026
Pension RAUM · $465M to $499M
Feb 11, 2026 to Mar 31, 2026
RAUM · $38B to $42B
Feb 11, 2026 to Mar 31, 2026
Accounts · 83,633 to 89,151
Jul 16, 2025 to Oct 1, 2025
Charity clients · 197 to 201
Jul 16, 2025 to Oct 1, 2025
Corporate clients · 329 to 343
Jul 16, 2025 to Oct 1, 2025
HNW clients · 29,241 to 31,584
Jul 16, 2025 to Oct 1, 2025
Individual clients · 35,319 to 36,854
Jul 16, 2025 to Oct 1, 2025
Pension plan clients · 475 to 450
Jul 16, 2025 to Oct 1, 2025
Assets in custody · $221M to $226M
Jul 16, 2025 to Oct 1, 2025
Discretionary RAUM · $15B to $18B
Jul 16, 2025 to Oct 1, 2025
HNW RAUM · $25B to $28B
Jul 16, 2025 to Oct 1, 2025
Individual RAUM · $8.1B to $8.6B
Jul 16, 2025 to Oct 1, 2025
Non-discretionary RAUM · $20B to $20B
Jul 16, 2025 to Oct 1, 2025
Pension RAUM · $466M to $465M
Jul 16, 2025 to Oct 1, 2025
RAUM · $35B to $38B
Jul 16, 2025 to Oct 1, 2025
Financial planning clients · 251-500 to 251-500
Apr 16, 2025 to Jul 16, 2025
Accounts · 81,035 to 83,633
Jan 8, 2025 to Apr 16, 2025
Advisory employees · 3,955 to 4,272
Jan 8, 2025 to Apr 16, 2025
BD registered reps · 5,461 to 5,729
Jan 8, 2025 to Apr 16, 2025
Charity clients · 186 to 197
Jan 8, 2025 to Apr 16, 2025
Corporate clients · 338 to 329
Jan 8, 2025 to Apr 16, 2025
HNW clients · 28,063 to 29,241
Jan 8, 2025 to Apr 16, 2025

Signals

60 dated events

Ojore Salim Hathaway no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-18 feed)
Sep 18, 2026 · Advisor registration ended · derived
Jerome Isaac Bland no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-18 feed)
Sep 18, 2026 · Advisor registration ended · derived
P•••••• J Kilgannon no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-18 feed)
Sep 18, 2026 · Advisor registration ended · derived
J•••• Lordi no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-18 feed)
Sep 18, 2026 · Advisor registration ended · derived
J•••• J••• S••••••• I• registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
William Owens registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
Atul Narain Agarwal registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
Chase Carson Green registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
Jennifer Kline registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
M•••••• Cade Knudson registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
A••••• Walter Lacksonen registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
Anna Catherine Cooper registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 18, 2026 · Advisor registered · fact
D••••• R. Shearer added a TX registration at E•••••••• A•••••••• L••
Sep 18, 2026 · New state registration · fact
C••••••••• U•••••••• left E•••••••• A•••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2026-09-18)
Sep 18, 2026 · Advisor changed firm · fact
A••• B••••• T••• left E•••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2026-09-18)
Sep 18, 2026 · Advisor changed firm · fact
Alison Laforge no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Robert Francis Rogan no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Brendan D•••• Russo no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Shamiah Michel no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Nancy Pan no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Taft Rahaim no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-17 feed)
Sep 17, 2026 · Advisor registration ended · derived
Sydney Campbell registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 17, 2026 · Advisor registered · fact
C••••••••• Hormaza registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 17, 2026 · Advisor registered · fact
Riley D•••• Lamott registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 17, 2026 · Advisor registered · fact
J••••• Gallagher registered as an investment adviser representative at E•••••••• A•••••••• L••
Sep 17, 2026 · Advisor registered · fact
Evan J Thornton added a TX registration at E•••••••• A•••••••• L••
Sep 17, 2026 · New state registration · fact
D••••• M•••••• L•••••• no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
Jonathan Palley no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
D••••• Frankenberry no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived
C•••••• J Mirabal no longer holds an investment adviser registration (last listed at E•••••••• A•••••••• L•• on the 2026-09-16 feed)
Sep 16, 2026 · Advisor registration ended · derived

Across DFX

shared identifiers only, never a name match

E•••••••• A•••••••• L•• · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business phone: 207-745-4050reportedpublished by the firm, firm site, Sep 15, 2026
Business phone: 212-314-4600reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile: linkedin.com/company/equitable-advisorsreportedpublic record, Form ADV, Sep 19, 2026
Website: E••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 19, 2026
Principal office phone: 212-314-4600reportedpublic record, Form ADV, Sep 11, 2026
Contact form: e•••••••••.comreportedpublished by the firm, firm site, Sep 15, 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: National broker-dealer RIAderiveda rule over Items 5.D and 7.A
RAUM per advisor: $9.2Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026