DFX Intelligence

E••• A•••• M••••••••• U• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

E••• A•••• M••••••••• U• L••

CRD 167999

GREENWICH, CT

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Search this name across graphsid dfx:ria:04b7cf80-ec17-8e92-4d6d-82374e385191

Data as of Mar 31, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:41 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 10
On other graphs: 0
Observed: Jun 3, 2013 to Mar 31, 2025
30 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $4.4B••• Locked
Discretionary RAUM: $4.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••• A•••• M••••••••• L••••••	Parent	E	yes	05/2013	Jun 3, 2013	Oct 8, 2024
F•••••••• M•••• R••••••	President	D	yes	08/2013	Jun 3, 2013	Oct 8, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••• A•••• M••••••••• L••••••	n/a	Asset manager	$5.0B	Y	yes	n/a
E••• G• S••••••• •••••••• L••••••	n/a	n/a	n/a	N	yes	n/a
E••• G• S••••••• L••••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	10	no
Miami	FL	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$4.4B	$4.5B	-2.3%	$6.9B	-13.7%	11	11	2	2

Relationships

Affiliated with (2)

← K••••••••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ K••••••••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (8)

← E••• A•••• M••••••••• L••••••OwnerPARENT, ownership code E, foreign entity
Jun 3, 2013 to Oct 8, 2024factForm ADV
← F•••••••• M•••• R••••••Owner

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 26, 2023
Control person left
Rhodes Raul Mcgregor (Chief Operating Officer And Chief Financial Officer) no longer on Schedule A of E••• A•••• M••••••••• U• L•• (listed 2023-03-31, absent 2023-04-26)
Form ADVobserved 7 days ago
Occurred
Apr 26, 2023
Control person left
Regina Susan Dodge (Chief Compliance Officer/ General Counsel) no longer on Schedule A of E••• A•••• M••••••••• U• L•• (listed 2023-03-31, absent 2023-04-26)
Form ADVobserved 7 days ago
Occurred
Apr 26, 2023
Control person joined
Matthew Kenneth Kukish (Chief Compliance Officer/Senior Regulatory Counsel) appeared on Schedule A of E••• A•••• M••••••••• U• L••
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04b7cf80-ec17-8e92-4d6d-82374e385191
First observed: Jun 3, 2013
Last observed: Mar 31, 2025 18 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.