DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••• M••••••••• C••••••• L••

CRD 137036

NEW YORK, NY

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Search this name across graphsid dfx:ria:5cff458f-7e14-c721-64c0-6044a451429c

Data as of May 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 1
Observed: Mar 28, 2012 to May 20, 2026
34 observations

Across DFX

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

Private Equityidentity

E••• M••••••••• C••••••• L••

Private equity manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.82 fund_share=0.12 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $261M••• Locked
Discretionary RAUM: $245M
Private client RAUM: $215Mderived••• Locked
Private client share: 82%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $43.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• M••• G•••••	n/a	NEW YORK, NY	5	10	1	no
J•••• H••••• E•••••	Chartered Financial Analyst	NEW YORK, NY	4	33

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••• S••••• F•••• L•	Hedge Fund	$21.8M	Mar 26, 2024	19	Mar 28, 2012	reported	021-161551
E••• F•••• L•	Hedge Fund	$6.5M	Dec 1, 2020

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••• J••••• H•••••	MEMBER & CHIEF COMPLIANCE OFFICER	C	yes	04/1995	Mar 28, 2012	Mar 26, 2024
E•••••• L•••••	Member	C	yes	04/1995	Mar 28, 2012	Mar 26, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$261M	$252M	3.6%	$188M	11.6%	7	8	0	0

Relationships

Advises (2)

→ E••• S••••• F•••• L•Private fundHedge Fund, IA
Mar 28, 2012 to presentfactForm ADV
→ E••• F•••• L•Private fundHedge Fund, IA, no longer reported
Mar 28, 2012 to Dec 1, 2020factForm ADV

Registered with (6)

← M•••• S•••••Advisorregistration: current employment
Oct 9, 2023 to presentfactForm ADV
←

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5cff458f-7e14-c721-64c0-6044a451429c
First observed: Mar 28, 2012
Last observed: May 20, 2026 4 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.