DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
E•••• C•••••• M••••••••• L••
Latest filing Sep 10, 2026
First filing on the tape Mar 26, 2012 · 38 filings
SEC status approved since Apr 5, 1995
RAUM
$36B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
18%
$6.6B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$36B
derived; firm RAUM over IAPD count
Employees
45
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$36B as of Jul 16, 2026
Mar 26, 2012$11B then
HNW client RAUM$6.6B as of Jul 16, 2026
Mar 28, 2018$5.1B then
State-registered IARs (5.B.3)1 as of Jul 16, 2026
Mar 26, 20120 then
Employees (5.A)45 as of Jul 16, 2026
Mar 22, 201325 then
Private funds1 as of Jul 16, 2026
Mar 26, 20121 then
RAUM +15% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Sep 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $36BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,509derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $15.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 43%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 45.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.5%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $191M, 1 clientsreportedItem 9.A
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$6.9B20%
- High-net-worth individuals$6.6B20%
- Charitable organizations$5.5B16%
- Sovereign wealth funds$4.6B14%
- Investment companies$3.6B11%
- Pension and profit-sharing plans$3.3B9.7%
- State and municipal entities$2.2B6.5%
- Pooled investment vehicles$1.1B3.2%
- Insurance companies$31.6M0.1%
- Individual clients
- 0reported
- HNW clients
- 1,509reported
- Pension plan clients
- 75reported
- Charitable clients
- 251reported
- Accounts
- 2,284reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $5.7B managedreported
- Custody of client assets
- $191M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.18 fund_share=0.13 institutional_share=0.43 related_bd=false related_bank=false bd_reps=12.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• B••••• C•••• I•• | New York, Ny | Jun 15, 2006 | 31 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••• C•••••• E••••• F•••• L••• | Hedge Fund | $173M | 13 | Mar 27, 2020 |
| E•••• G••••• L•••••• P•••••••••no longer reported | Hedge Fund | $82.6M | 8 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• D••••• B•••••• · Chief Financial Officercontrolsince 04/2018 · owns less than 5%
- C•••• I••• R••••••• B••••• · Chairman, Co-Chief Investment Officer, And Foundercontrolsince 03/1995 · owns 50% to 75%
- F•••••• M••••••• I• · Chief Executive Officercontrolsince 04/2023 · owns less than 5%
- H••••• A•••• J••• · Managing Chief Investment Officercontrolsince 08/2010 · owns 10% to 25%
- M•••• A•••••• V•••••• · Co-Chief Investment Officercontrolsince 10/2008 · owns 10% to 25%
- R••••••••• M•••• T•••••• · General Counsel And Chief Compliance Officercontrolsince 05/2016 · owns less than 5%
- R•••• I••• R••••••• S••••• · Chief Operating Officercontrolsince 08/2017 · owns less than 5%
Related persons
Schedule D 7.A
- E•••• C•••••• E••••• F••• G•• L••investment adviserpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Walnut Creek, CA1 employees
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 16, 2026 to Sep 10, 2026
- Private funds · 1 to unsetJul 16, 2026 to Sep 10, 2026
- Succession · false to unsetJul 16, 2026 to Sep 10, 2026
- Accounts · 2,133 to 2,284Dec 4, 2025 to Mar 20, 2026
- BD registered reps · 10 to 12Dec 4, 2025 to Mar 20, 2026
- Charity clients · 247 to 251Dec 4, 2025 to Mar 20, 2026
- Corporate clients · 329 to 348Dec 4, 2025 to Mar 20, 2026
- HNW clients · 1,378 to 1,509Dec 4, 2025 to Mar 20, 2026
- Pension plan clients · 82 to 75Dec 4, 2025 to Mar 20, 2026
- Assets in custody · $172M to $191MDec 4, 2025 to Mar 20, 2026
- Employees · 42 to 45Dec 4, 2025 to Mar 20, 2026
- Discretionary RAUM · $31B to $36BDec 4, 2025 to Mar 20, 2026
- HNW RAUM · $6.2B to $6.6BDec 4, 2025 to Mar 20, 2026
- Pension RAUM · $3.2B to $3.3BDec 4, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $684M to $1.1BDec 4, 2025 to Mar 20, 2026
- RAUM · $31B to $36BDec 4, 2025 to Mar 20, 2026
- Wrap assets (manager) · $4.7B to $5.7BDec 4, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 20, 2025 to Jun 16, 2025
- Accounts · 2,052 to 2,133Nov 12, 2024 to Mar 20, 2025
- Advisory employees · 10 to 12Nov 12, 2024 to Mar 20, 2025
- BD registered reps · 1 to 10Nov 12, 2024 to Mar 20, 2025
- Charity clients · 250 to 247Nov 12, 2024 to Mar 20, 2025
- Corporate clients · 322 to 329Nov 12, 2024 to Mar 20, 2025
- HNW clients · 1,301 to 1,378Nov 12, 2024 to Mar 20, 2025
- Pension plan clients · 83 to 82Nov 12, 2024 to Mar 20, 2025
- Assets in custody · $173M to $172MNov 12, 2024 to Mar 20, 2025
- Discretionary RAUM · $29B to $31BNov 12, 2024 to Mar 20, 2025
- HNW RAUM · $5.2B to $6.2BNov 12, 2024 to Mar 20, 2025
- Pension RAUM · $3.7B to $3.2BNov 12, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $490M to $684MNov 12, 2024 to Mar 20, 2025
- RAUM · $29B to $31BNov 12, 2024 to Mar 20, 2025
- Wrap assets (manager) · $4.4B to $4.7BNov 12, 2024 to Mar 20, 2025
- Accounts · 2,343 to 2,052Mar 20, 2023 to Mar 26, 2024
- Advisory employees · 11 to 10Mar 20, 2023 to Mar 26, 2024
- Advisory activities · 3 to 4Mar 20, 2023 to Mar 26, 2024
- BD registered reps · 0 to 1Mar 20, 2023 to Mar 26, 2024
- Charity clients · 290 to 250Mar 20, 2023 to Mar 26, 2024
- Corporate clients · 388 to 322Mar 20, 2023 to Mar 26, 2024
- HNW clients · 1,460 to 1,301Mar 20, 2023 to Mar 26, 2024
- Pension plan clients · 104 to 83Mar 20, 2023 to Mar 26, 2024
Signals
4 dated events
- Boykin Ravenel Curry Iv (Co-Chief Investment Officer) no longer on Schedule A of E•••• C•••••• M••••••••• L•• (listed 2023-03-20, absent 2024-03-26)Mar 26, 2024 · Control person left · inference
- I Michael Falcon (Chief Executive Officer) appeared on Schedule A of E•••• C•••••• M••••••••• L••Mar 26, 2024 · Control person joined · fact
- E•••• C•••••• M••••••••• L•• reported RAUM $23.9B, down 32% from $35.0B (2022-03-22 to 2023-03-20)Mar 20, 2023 · RAUM change · derived
- E•••• C•••••• M••••••••• L•• reported RAUM $32.0B, up 26% from $25.4B (2020-02-03 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/E••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-293-4040reportedpublic record, Form ADV, Sep 10, 2026
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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $36Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026