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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

E&M ADVISORS LLC

CRD 162148

NEW YORK, NY

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:c9062ca9-6c55-595a-b16c-1cfc793824df

Data as of Jul 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 2, 2012 to Jul 1, 2013
4 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: $0Item 5.F on the latest filing (2013-07-01); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 43
Advisory employees: 10
Accounts: 0
SEC number: 801-78316
CRD: 162148
Filings on the tape: 4
First filed: Mar 2, 2012
Latest filed: Jul 1, 2013
Organised: Limited Liability Company, Delaware

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BERMINGHAM, AMY, GAIL	Member	F	yes	12/2000	Mar 2, 2012	Jul 1, 2013
BROWN, TINIKA, MARIE	CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL	Na	yes	01/2008	Mar 2, 2012	Jul 1, 2013
DAVIDSON, STEVEN, WILLIAM	CHIEF OPERATING OFFICER	Na	yes	01/2011	Mar 2, 2012	Jul 1, 2013
EHRENKRANZ PARTNERS L.P.	Member	D	yes	02/2012	Mar 2, 2012	Jul 1, 2013
EHRENKRANZ, JOEL, STANLEY	Member	C	yes	12/2000	Mar 2, 2012	Jul 1, 2013
EHRENKRANZ, JOHN, BICK	Member	F	yes	08/2004	Mar 2, 2012	Jul 1, 2013
EHRENKRANZ, SANFORD, BARRY	Member	F	yes	12/2000	Mar 2, 2012	Jul 1, 2013
FIERRO, MICHAEL, CARL	CHIEF FINANCIAL OFFICER	Na	yes	09/2010	Mar 2, 2012	Jul 1, 2013
JOHN MACK ADVISORS LLC	MANAGING MEMBER	D	yes	12/2011	Mar 2, 2012	Jul 1, 2013
MACK, JOHN, JOSEPH	MANAGING MEMBER	E	yes	12/2011	Mar 2, 2012	Jul 1, 2013
SHAW, PATRICK, JAMES CHAPMAN	Member	F	yes	01/2007	Mar 2, 2012	Jul 1, 2013
SOMMERS, ANDREW	Member	F	yes	12/2000	Mar 2, 2012	Jul 1, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
EHRENKRANZ PARTNERS L.P.	n/a	Independent wealth	$22B	Y	yes	n/a
E CAPITAL MANAGEMENT L.P.	n/a	Former SEC adviser	$4.1B	N	yes	n/a
E&E ADVISORS L.P.	n/a	Former SEC adviser	$933M	N	yes	n/a
ACQUISITION FUNDS GP - L.P.	n/a	n/a	n/a	N	yes	n/a
EHRENKRANZ & EHRENKRANZ LLP	n/a	n/a	n/a	N	yes	n/a

Relationships

Affiliated with (3)

→ E&E ADVISORS L.P.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ E CAPITAL MANAGEMENT L.P.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ EHRENKRANZ PARTNERS L.P.Registered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (12)

← EHRENKRANZ PARTNERS L.P.OwnerMEMBER, ownership code D, domestic entity
Mar 2, 2012 to presentfactForm ADV
← EHRENKRANZ, JOHN, BICKOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← MACK, JOHN, JOSEPHOwnerMANAGING MEMBER, ownership code E, individual
Mar 2, 2012 to presentfactForm ADV
← EHRENKRANZ, JOEL, STANLEYOwnerMEMBER, ownership code C, individual
Mar 2, 2012 to presentfactForm ADV
← EHRENKRANZ, SANFORD, BARRYOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← BERMINGHAM, AMY, GAILOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← SOMMERS, ANDREWOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← SHAW, PATRICK, JAMES CHAPMANOwnerMEMBER, ownership code F, individual
Mar 2, 2012 to presentfactForm ADV
← BROWN, TINIKA, MARIEOwnerCHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← DAVIDSON, STEVEN, WILLIAMOwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← FIERRO, MICHAEL, CARLOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 2, 2012 to presentfactForm ADV
← JOHN MACK ADVISORS LLCOwnerMANAGING MEMBER, ownership code D, domestic entity
Mar 2, 2012 to presentfactForm ADV

Dated events

Occurred
Aug 9, 2012
First Form ADV filing
E&M Advisors Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c9062ca9-6c55-595a-b16c-1cfc793824df
First observed: Mar 2, 2012
Last observed: Jul 1, 2013 161 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.

E&M ADVISORS LLC

CRD 162148

NEW YORK, NY

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:c9062ca9-6c55-595a-b16c-1cfc793824df

Data as of Jul 1, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BERMINGHAM, AMY, GAIL

Member

yes

12/2000

Mar 2, 2012

Jul 1, 2013

BROWN, TINIKA, MARIE

CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL

yes

01/2008

Mar 2, 2012

Jul 1, 2013

DAVIDSON, STEVEN, WILLIAM

CHIEF OPERATING OFFICER

yes

01/2011

Mar 2, 2012

Jul 1, 2013

EHRENKRANZ PARTNERS L.P.

Member

yes

02/2012

Mar 2, 2012

Jul 1, 2013

EHRENKRANZ, JOEL, STANLEY

Member

yes

12/2000

Mar 2, 2012

Jul 1, 2013

EHRENKRANZ, JOHN, BICK

Member

yes

08/2004

Mar 2, 2012

Jul 1, 2013

EHRENKRANZ, SANFORD, BARRY

Member

yes

12/2000

Mar 2, 2012

Jul 1, 2013

FIERRO, MICHAEL, CARL

CHIEF FINANCIAL OFFICER

yes

09/2010

Mar 2, 2012

Jul 1, 2013

JOHN MACK ADVISORS LLC

MANAGING MEMBER

yes

12/2011

Mar 2, 2012

Jul 1, 2013

MACK, JOHN, JOSEPH

MANAGING MEMBER

yes

12/2011

Mar 2, 2012

Jul 1, 2013

SHAW, PATRICK, JAMES CHAPMAN

Member

yes

01/2007

Mar 2, 2012

Jul 1, 2013

SOMMERS, ANDREW

Member

yes

12/2000

Mar 2, 2012

Jul 1, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

EHRENKRANZ PARTNERS L.P.

n/a

Independent wealth

$22B

yes

n/a

E CAPITAL MANAGEMENT L.P.

n/a

Former SEC adviser

$4.1B

yes

n/a

E&E ADVISORS L.P.

n/a

Former SEC adviser

$933M

yes

n/a

ACQUISITION FUNDS GP - L.P.

n/a

yes

n/a

EHRENKRANZ & EHRENKRANZ LLP

n/a

yes

n/a