← Tributary

EFS ASSET MANAGEMENT LLC

DALLAS, TX · CRD 106184 · IAPD ↗ · 214-550-0914

$70.0MRegulatory AUM
1Advisory reps
1Employees
0Clients
0Planning clients
0Private funds
1States
0Disclosures
wealthSegment
ApprovedSEC status

Filing changes

60
October 2026 — EFS ASSET MANAGEMENT LLC (DALLAS, TX) left the SEC roster (was $70.0M RAUM, 1 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
40
April 2024 — EFS ASSET MANAGEMENT LLC filed an Item 4A succession naming FIVE KEYS CAPITAL ADVISORS INC. (CRD 106184) — an entity change, not a deal.
Item 4A succession where the acquired firm is the same business (entity change, not a deal).
Integration & migration consultingCompliance
45
April 2024 — EFS ASSET MANAGEMENT LLC reported RAUM down 61% ($179.7M -> $69.7M).
Regulatory AUM down >=25% since last filing.
M&A & valuationRecruiting & transitions
55
April 2024 — FIVE KEYS CAPITAL ADVISORS INC. is now doing business as EFS ASSET MANAGEMENT LLC.
Primary business name changed: rebrand, merger, or ownership change.
Marketing & brandCRM

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.