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Former SEC-registered adviser

E•• R••••• S••••••••• I••

Former SEC-registered adviserNew York, New YorkCRD 106687SEC 801-44099IAPD
Latest filing Jul 28, 2017
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$168M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
24 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$168M as of Mar 30, 2017
Mar 29, 2012$3.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2017
Mar 29, 20120 then
Employees (5.A)37 as of Mar 30, 2017
Mar 25, 201346 then
Private funds1 as of Mar 30, 2015
Mar 29, 20121 then
RAUM -17% over the last fiscal year-70% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 28, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$21.0MderivedRAUM 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
-17%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 assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
8reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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 departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• I•••••••• W•••• G•••• T•••• • E••••• W•••• F•••no longer reportedOther Private Fund$65.6M2Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• C••••••••• A•••• · Chief Executive Officer & Chairmancontrol
        since 05/1993 · owns less than 5%
      • L••••• R•••••• D•••••• · President & Chief Operating Officercontrol
        since 12/2009 · owns less than 5%
      • M••••••• M••••••• J••••• · Vice President & Chief Compliance Officercontrol
        since 05/2004 · owns less than 5%
      • M••••••• L•••••• R••• · Secretary, Treasurer & Chief Financial Officercontrol
        since 05/2011 · owns less than 5%
      • L••••• C••••••••• A•••• · Chief Executive Officer & Chairmancontrol
        since 05/1993 · owns 25% to 50% of E•• C•••••• H••••••• I•••
      Entity owners
      • E•• C•••••• M••••••••• I••• · Shareholder
        direct · owns 75% or more
      • E•• C•••••• H••••••• I••• · Shareholder
        indirect · owns 75% or more of E•• C•••••• M••••••••• I•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 27 to 24
        Mar 29, 2016 to Mar 30, 2017
      • Employees · 41 to 37
        Mar 29, 2016 to Mar 30, 2017
      • Discretionary RAUM · $201M to $168M
        Mar 29, 2016 to Mar 30, 2017
      • RAUM · $201M to $168M
        Mar 29, 2016 to Mar 30, 2017
      • Accounts · 12 to 8
        Mar 30, 2015 to Mar 29, 2016
      • Advisory activities · 4 to 3
        Mar 30, 2015 to Mar 29, 2016
      • Assets in custody · $65.6M to $0
        Mar 30, 2015 to Mar 29, 2016
      • Custody of client assets · true to false
        Mar 30, 2015 to Mar 29, 2016
      • Employees · 44 to 41
        Mar 30, 2015 to Mar 29, 2016
      • Private funds · 1 to unset
        Mar 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $663M to $201M
        Mar 30, 2015 to Mar 29, 2016
      • RAUM · $663M to $201M
        Mar 30, 2015 to Mar 29, 2016
      • Accounts · 48 to 12
        Nov 26, 2014 to Mar 30, 2015
      • Advisory employees · 31 to 27
        Nov 26, 2014 to Mar 30, 2015
      • Assets in custody · $292M to $65.6M
        Nov 26, 2014 to Mar 30, 2015
      • Employees · 53 to 44
        Nov 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $6.3B to $663M
        Nov 26, 2014 to Mar 30, 2015
      • RAUM · $6.3B to $663M
        Nov 26, 2014 to Mar 30, 2015
      • Accounts · 49 to 48
        Mar 26, 2013 to Mar 31, 2014
      • Advisory employees · 27 to 31
        Mar 26, 2013 to Mar 31, 2014
      • Assets in custody · unset to 291778915.0
        Mar 26, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Mar 26, 2013 to Mar 31, 2014
      • Employees · 46 to 53
        Mar 26, 2013 to Mar 31, 2014
      • Discretionary RAUM · $5.1B to $6.3B
        Mar 26, 2013 to Mar 31, 2014
      • RAUM · $5.1B to $6.3B
        Mar 26, 2013 to Mar 31, 2014
      • Advisory employees · unset to 27.0
        Mar 29, 2012 to Mar 25, 2013
      • BD registered reps · 0 to 1
        Mar 29, 2012 to Mar 25, 2013
      • Employees · unset to 46.0
        Mar 29, 2012 to Mar 25, 2013
      • Discretionary RAUM · $3.2B to $5.1B
        Mar 29, 2012 to Mar 25, 2013
      • RAUM · $3.2B to $5.1B
        Mar 29, 2012 to Mar 25, 2013
      Signals
      No event on the tape.
      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•• R••••• S••••••••• I•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

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