DFX Intelligence

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Former SEC-registered adviser

E•• C•••••• M••••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 105680SEC 801-19755IAPD

Latest filing Mar 30, 2021

First filing on the tape Mar 29, 2012 · 22 filings

RAUM

$1.0B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$476,633 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$1.0B as of Mar 30, 2021

Mar 29, 2012$2.5B then

HNW client RAUM$476,633 as of Mar 30, 2021

Mar 29, 2018$12.7M then

State-registered IARs (5.B.3)0 as of Mar 30, 2021

Mar 29, 20120 then

Employees (5.A)9 as of Mar 30, 2021

Mar 25, 201346 then

Private funds2 as of Mar 29, 2018

Mar 31, 20141 then

RAUM +11% over the last fiscal year-0.2% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 2021; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: $476,633derivedHNW RAUM over HNW clients
Average account: $202MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year: +11%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$1.0B100%
High-net-worth individuals$476,6330.0%

Individual clients: n/areported
HNW clients: 1reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 5reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, performancereported
Class basis: absent from the latest SEC rosterderived

Advisors registered through the firm

0 on IAPD today, longest tenure first

No representative is registered through this CRD on IAPD.

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
E•••• V•••• A•• F••• I• L•no longer reported	Real Estate Fund	$32.2M	50	Mar 30, 2017
E•••• M••••••••• F••• 2••• L••no longer reported	Real Estate Fund	$26.2M	34	Mar 31, 2014

Owners and control persons

Schedule A and B, latest filing

L••••• C••••••••• A•••• · Chairman, Chief Investment Officer & Chief Compliance Officer Of E•• C•••••• M••••••••• I•••control
since 03/1983 · owns less than 5%
L••••• R•••••• D•••••• · Chief Executive Officer & President Of E•• C•••••• M••••••••• I•••control
since 12/2009 · owns less than 5%
L••••• C••••••••• A•••• · Chairmancontrol
since 03/1983 · owns 50% to 75% of E•• C•••••• H••••••• I•••
L••••• R•••••• D•••••• · Chief Executive Officer And Presidentcontrol
since 12/2009 · owns 25% to 50% of E•• C•••••• H••••••• I•••

Entity owners

E•• C•••••• H••••••• I••• · Shareholder Of E•• C•••••• M••••••••• I•••
direct · owns 75% or more
E•• C•••••• H••••••• I••• · Shareholder
indirect · owns 75% or more of E•• R••••• C••••

Related persons

Schedule D 7.A

E•• R••••• C••••
investment advisern

Advisers that list E•• C•••••• M••••••••• I••• as a related person

106687 y

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 7 to 5
Jun 24, 2020 to Mar 30, 2021
HNW clients · 3 to 1
Jun 24, 2020 to Mar 30, 2021
Discretionary RAUM · $914M to $1.0B
Jun 24, 2020 to Mar 30, 2021
HNW RAUM · $25.1M to $476,633
Jun 24, 2020 to Mar 30, 2021
Pooled vehicle RAUM · $889M to $1.0B
Jun 24, 2020 to Mar 30, 2021
RAUM · $914M to $1.0B
Jun 24, 2020 to Mar 30, 2021
Accounts · 8 to 7
Oct 10, 2019 to Mar 30, 2020
Advisory employees · 12 to 4
Oct 10, 2019 to Mar 30, 2020
HNW clients · 2 to 3
Oct 10, 2019 to Mar 30, 2020
Pooled vehicle clients · unset to 4.0
Oct 10, 2019 to Mar 30, 2020
Employees · 12 to 9
Oct 10, 2019 to Mar 30, 2020
Discretionary RAUM · $278M to $914M
Oct 10, 2019 to Mar 30, 2020
HNW RAUM · $22.6M to $25.1M
Oct 10, 2019 to Mar 30, 2020
Non-discretionary RAUM · $576M to $0
Oct 10, 2019 to Mar 30, 2020
Pooled vehicle RAUM · unset to 889115126.0
Oct 10, 2019 to Mar 30, 2020
RAUM · $853M to $914M
Oct 10, 2019 to Mar 30, 2020
Related adviser · false to true
Jul 24, 2019 to Oct 10, 2019
Accounts · 13 to 8
May 11, 2018 to Mar 29, 2019
Advisory employees · 16 to 12
May 11, 2018 to Mar 29, 2019
Advisory activities · 5 to 3
May 11, 2018 to Mar 29, 2019
Pooled vehicle clients · 2.0 to unset
May 11, 2018 to Mar 29, 2019
Assets in custody · $304,155 to $0
May 11, 2018 to Mar 29, 2019
Custody of client assets · true to false
May 11, 2018 to Mar 29, 2019
Employees · 16 to 12
May 11, 2018 to Mar 29, 2019
Private funds · 2 to unset
May 11, 2018 to Mar 29, 2019
Discretionary RAUM · $940M to $278M
May 11, 2018 to Mar 29, 2019
HNW RAUM · $12.7M to $22.6M
May 11, 2018 to Mar 29, 2019
Non-discretionary RAUM · $76.5M to $576M
May 11, 2018 to Mar 29, 2019
Pooled vehicle RAUM · 58460638.0 to unset
May 11, 2018 to Mar 29, 2019
RAUM · $1.0B to $853M
May 11, 2018 to Mar 29, 2019
Advisory employees · 24 to 16
Jul 28, 2017 to Mar 29, 2018
BD registered reps · 1 to 0
Jul 28, 2017 to Mar 29, 2018
HNW clients · unset to 2.0
Jul 28, 2017 to Mar 29, 2018
Pooled vehicle clients · unset to 2.0
Jul 28, 2017 to Mar 29, 2018
Assets in custody · $445,880 to $304,155
Jul 28, 2017 to Mar 29, 2018
Employees · 37 to 16
Jul 28, 2017 to Mar 29, 2018
Other offices · unset to 0.0
Jul 28, 2017 to Mar 29, 2018
Discretionary RAUM · $372M to $940M
Jul 28, 2017 to Mar 29, 2018
HNW RAUM · unset to 12746410.0
Jul 28, 2017 to Mar 29, 2018
Non-discretionary RAUM · $612M to $76.5M
Jul 28, 2017 to Mar 29, 2018

Signals

2 dated events

••• Locked
Jul 24, 2019 · Control person left · inference
••• Locked
Jul 24, 2019 · Control person left · inference

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Across the graphs

E•• C•••••• M••••••••• I••• is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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