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Former SEC-registered adviser

E•• M••••••••• •••• I••

Former SEC-registered adviserNew York, New YorkCRD 108078SEC 801-56520IAPD
Legal name E•• M••••••••• •••• I•••
Latest filing Oct 8, 2014
First filing on the tape Mar 27, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$29.2M gross assets
History
15 filings and snapshots on the tape
RAUM$168M as of Mar 28, 2013
Mar 29, 2012$466M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20130 then
Employees (5.A)8 as of Mar 28, 2014
Mar 28, 20138 then
Private funds1 as of Mar 28, 2014
Mar 29, 20123 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 8, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$697,366, 3 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • controlled by a public reporting company (10.A)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$697,366 for 3 clientsreported
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 departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E•• O••••••••• L•no longer reportedHedge Fund$45.9M6Mar 27, 2012
      D•••• E•• M••••••••• F•••no longer reportedHedge Fund$34.4M1Mar 27, 2012
      E•• A••••••••• A•••• P•••••••• I•• L••Hedge Fund$29.2M1Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• R•••••• F•••••• · Board Of Directors, Chief Compliance Officer
        since 05/2013 · owns less than 5%
      • B••••••••• E•••• T••• · Chief Strategist
        since 03/2011 · owns less than 5%
      • W•••• J•••• S•••• · Managing Director, Head Of Operational Due Diligence
        since 06/2013 · owns less than 5%
      Entity owners
      • E•• P••••••••• L••••••••• S••• · Direct Owner
        direct · owns 75% or more
      • A••••• T•••• · Owner
        indirect · owns 75% or more of Eim P••••••••• L••••••••• Sa
      • R•••• T••••••• ••••••• I••••••• L•• · Trustee
        indirect · owns 75% or more of A••••• T••••
      Related persons
      Schedule D 7.A
      • E••••• S•••
        investment advisern
      • E•• •••••• K••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2.0 to unset
        Sep 20, 2013 to Mar 28, 2014
      • Assets in custody · $84.0M to $697,366
        Sep 20, 2013 to Mar 28, 2014
      • Discretionary RAUM · 63691190.0 to unset
        Sep 20, 2013 to Mar 28, 2014
      • Non-discretionary RAUM · 103863792.0 to unset
        Sep 20, 2013 to Mar 28, 2014
      • RAUM · 167554982.0 to unset
        Sep 20, 2013 to Mar 28, 2014
      • Accounts · 9 to 2
        Jan 24, 2013 to Mar 28, 2013
      • Advisory employees · 10 to 5
        Jan 24, 2013 to Mar 28, 2013
      • Advisory activities · 5 to 4
        Jan 24, 2013 to Mar 28, 2013
      • BD registered reps · 11 to 0
        Jan 24, 2013 to Mar 28, 2013
      • Assets in custody · $289M to $84.0M
        Jan 24, 2013 to Mar 28, 2013
      • Employees · 17 to 8
        Jan 24, 2013 to Mar 28, 2013
      • Private funds · 3 to 1
        Jan 24, 2013 to Mar 28, 2013
      • Discretionary RAUM · $202M to $63.7M
        Jan 24, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $264M to $104M
        Jan 24, 2013 to Mar 28, 2013
      • RAUM · $466M to $168M
        Jan 24, 2013 to Mar 28, 2013
      • Related broker-dealer · true to false
        Jan 24, 2013 to Mar 28, 2013
      • Advisory employees · unset to 10.0
        Oct 19, 2012 to Jan 24, 2013
      • BD registered reps · unset to 11.0
        Oct 19, 2012 to Jan 24, 2013
      • Employees · unset to 17.0
        Oct 19, 2012 to Jan 24, 2013
      • State-registered IARs · unset to 0.0
        Oct 19, 2012 to Jan 24, 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