DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

E••••• I••••••••• L••

CRD 306790

HOUSTON, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:09b5c778-f5e4-3430-3aad-1ca2b1c038b5

Data as of Oct 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:30 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 12
On other graphs: 1
Observed: Jul 17, 2020 to Oct 12, 2023
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

E••••• I••••••••• L••

Private equity manager · shared crd

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: $5.0M••• Locked
Discretionary RAUM: $5.0M
Private client RAUM: $5.0Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••• G••• S••• F•••	Other Private Fund	$10.0M	Aug 27, 2020	0	Aug 25, 2020	dropped	n/a
R•••••• H••• I••••• F••• I• L•	Private Equity Fund	$0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• L••	Member	E	yes	12/2019	Jul 17, 2020	Oct 12, 2023
G••••••• A••••••• Y•••••	CHIEF COMPLIANCE OFFICER	Na	yes	01/2021	Feb 2, 2021	Oct 12, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• A•••••••• L••	n/a	State registered	$1.5M	N	yes	n/a
E••••• C••••••••• L••	n/a	n/a	n/a	N	yes	n/a
E••••• G• H•••••••• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Roseville	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2022	Mar 30, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$5.0M	$6.8M	-25.9%	n/a	n/a	6	12	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E••••• A•••••••	2	Dec 18, 2023	Jun 15, 2023	HOUSTON, TX	Team lift out	RIA to state RIA	100.0%

Relationships

Affiliated with (1)

→ E••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV

Advises (3)

→ R•••••• H••• I••••• F••• I• L•Private fundPrivate Equity Fund, IA
Mar 23, 2022 to presentfactForm ADV
→ T•• A•••• F•••• L•Private fundHedge Fund, IA
Mar 23, 2022 to presentfactForm ADV
→ E••••• G••• S••• F•••

Dated events

Occurred
Dec 18, 2023
Team lift-out
••• Locked
Form ADVobserved 8 days ago
2 advisors
Occurred
Dec 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 18, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 11, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:09b5c778-f5e4-3430-3aad-1ca2b1c038b5
First observed: Jul 17, 2020
Last observed: Oct 12, 2023 35 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.