DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 10b 100b

E••••• C•••••• ••• L••

CRD 315314

NEW YORK, NY

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Search this name across graphs

Data as of Jul 1, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 8
On other graphs: 0
Observed: Jun 29, 2022 to Jul 1, 2025
11 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: $33B••• Locked
Discretionary RAUM: $33B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 94
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••• C•••••• M•••• S••••••• M••••• F••• L••	Hedge Fund	$106B	Dec 12, 2024	131	Mar 31, 2022	reported	021-397389

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• C•••••• L••	1••• O•••• O• E••••• C•••••• M••••••••• L••	E	yes	04/2016	Jun 29, 2022	Dec 12, 2024
E••••• C•••••• M••••••••• L••	100% OWNER OF E••••• C•••••• •••	E	yes	01/2021	Jun 29, 2022	Dec 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••••• C•••••• ••••••• L••	n/a	n/a	n/a	N	yes	n/a
E••••• C•••••• ••• L••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN FRANCISCO	CA	United States	2	no
WEST PALM BEACH	FL	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 31, 2025

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	$33B	$27B	22.3%	n/a	n/a	94	81	2	4

Relationships

Advises (1)

→ E••••• C•••••• M•••• S••••••• M••••• F••• L••Private fundHedge Fund, IA
Mar 31, 2022 to presentfactForm ADV

Controls (7)

← E•••••• E•••••• K•••••OwnerMR. E••••• AND HIS FAMILY ARE THE ULTIMATE BENEFICIAIRES OF THE 2014 V••••• TRUST, ownership code E, individual
Jun 29, 2022 to Dec 12, 2024factForm ADV
← M•••••• C••••••••• N••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 17, 2023 to Dec 12, 2024factForm ADV
← M••••••• L•••• X••••••

Dated events

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

Order

Occurred
12 Dec 2024
Control person joined
••• Locked
Form ADV
Occurred
28 Mar 2024
Regulatory AUM changed
••• Locked
Form ADV
$20.8B
Occurred
31 Mar 2023
Regulatory AUM changed
••• Locked
Form ADV
$-3.0B
Occurred
17 Jan 2023
Control person joined
••• Locked
Form ADV
Occurred
17 Jan 2023
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 29, 2022
Last observed: Jul 1, 2025 14 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.