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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Former SEC-registered adviser

E• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 113661SEC 801-60620IAPD
Latest filing Mar 20, 2025
First filing on the tape Feb 29, 2012 · 24 filings
SEC status approved since Oct 3, 2001
RAUM
$4.1B
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
50
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
21
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$4.1B as of Mar 20, 2025
Feb 29, 2012$3.7B then
HNW client RAUM$0 as of Mar 20, 2025
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 20, 2025
Feb 29, 20120 then
Employees (5.A)50 as of Mar 20, 2025
Feb 6, 201345 then
Private funds21 as of Mar 20, 2025
Feb 29, 201219 then
RAUM -3.4% over the last fiscal year-8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2025; 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
$127MderivedRAUM 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
-3.4%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 pooled vehicles, otherreportedItem 5.G
Custody
$4.1B, 32 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$4.1B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
32reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$4.1B for 32 clientsreported
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
      34 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E• A••••••• R••••• S••••••••• L•••Hedge Fund$2.1B114Feb 29, 2012
      E• L••• S••••••• L•••Hedge Fund$437M83Feb 28, 2019
      E• H••••• E••••• S••••••••• L•••Hedge Fund$432M96Feb 29, 2012
      E• A••• E••••• S••••••••• L•••Hedge Fund$270M78Feb 29, 2012
      E• C••••••••• E••••• S••••••••• L•••Hedge Fund$167M29Feb 29, 2012
      E• C•• L•••Hedge Fund$152M8Mar 10, 2020
      E• M•• L•••no longer reportedHedge Fund$146M3Mar 10, 2022
      E• T•• L••• • C•••• A•Hedge Fund$113M16Mar 10, 2022
      E• D•• L•••Hedge Fund$105M8Mar 10, 2022
      D••••• L•••••• F••• T•••• L•••Other Private Fund$87.8M52Mar 21, 2018
      E• S•• L•••Hedge Fund$43.8M5Mar 12, 2021
      E••••• O••••••••• F••• L•••Private Equity Fund$43.5M28Jan 31, 2014
      D••••• L•••••• F••• T•• L•••Other Private Fund$37.9M40Feb 12, 2016
      E• A•• L••• • C•••• B•Private Equity Fund$36.0M23Mar 9, 2023
      E• A•• L••• • C•••• C•Private Equity Fund$24.3M23Mar 9, 2023
      A••••••••• F••• 2••• L•••Private Equity Fund$23.1M38Feb 29, 2012
      A••••••••• F••• 2••• L•••Private Equity Fund$22.1M49Feb 29, 2012
      A••••••••• F••• 2••• L•••Private Equity Fund$21.6M23Feb 29, 2012
      E• A•• L••• • C•••• A•Private Equity Fund$19.6M23Mar 9, 2023
      E• T•• L••• • C•••• B•Private Equity Fund$14.4M15Mar 10, 2022
      R••• E••••• A••••••••• F••• T•••• L•••Private Equity Fund$13.7M41Feb 29, 2012
      R••• E••••• A••••••••• F••• T•• L•••Private Equity Fund$3.3M36Feb 29, 2012
      O••••••• A••••••••• F••• T•• L•••Private Equity Fund$1.7M36Feb 29, 2012
      D••••• L•••••• F••• L•••Other Private Fund$1.3M29Feb 6, 2013
      A••• A••••••••• F••• L•••Private Equity Fund$1.3M56Feb 29, 2012
      A••••••••• F••• F••• L•••Private Equity Fund$1.0M47Feb 29, 2012
      A••••••••• F••• F••• L•••Private Equity Fund$959,64245Feb 29, 2012
      O••••••• A••••••••• F••• F••• L•••Private Equity Fund$857,65946Feb 29, 2012
      A••••••••• F••• 2••• L•••Private Equity Fund$568,10643Feb 29, 2012
      R••• E••••• A••••••••• F••• L•••Private Equity Fund$442,19736Feb 29, 2012
      V•••••• F••• L•••Venture Capital Fund$329,51938Feb 29, 2012
      A••••••••• F••• T•••• L•••Private Equity Fund$256,20936Feb 29, 2012
      O••••••• A••••••••• F••• L•••no longer reportedPrivate Equity Fund$187,76522Feb 29, 2012
      O••••••• A••••••••• F••• T•••• L•••Private Equity Fund$98,67937Feb 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••••• A••• G••• · Limited Partnercontrol
        since 06/2001 · owns 5% to 10%
      • D•••••••• S•••••• W•••••• · Chief Operating Officercontrol
        since 01/2011 · owns less than 5%
      • E••••••••• J•••• S•••••• · Limited Partnercontrol
        since 06/2001 · owns 10% to 25%
      • E••••••••• J•••• B••• · Limited Partnercontrol
        since 01/2006 · owns 5% to 10%
      • E••••••••• S••••••• B•••• · Limited Partnercontrol
        since 06/2001 · owns 10% to 25%
      • F•••••• M••••••• C••• · Chief Financial Officercontrol
        since 09/2010 · owns less than 5%
      • M•••••• H•••••• W•••• · Limited Partnercontrol
        since 01/2015 · owns 5% to 10%
      • R••••••••• B••••• B•••••• · Chief Compliance Officercontrol
        since 08/2024 · owns less than 5%
      • S•••• P••••••• J•••• C•••••• · Limited Partnercontrol
        since 01/2007 · owns 10% to 25%
      • S••••••• A••••• · Limited Partnercontrol
        since 06/2001 · owns 25% to 50%
      • B••••••••• A••• G••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• P••••••• L•••
      • E••••••••• J•••• S•••••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• J•••• S••••••
      • E••••••••• J•••• B••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• P••••••• L•••
      • E••••••••• S••••••• B•••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• P••••••• L•••
      • M•••••• H•••••• W•••• · Limited Partnercontrol
        since 01/2015 · owns F of E••••••••• P••••••• L•••
      • S•••• P••••••• J•••• C•••••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• P••••••• L•••
      • S••••••• A••••• · Limited Partnercontrol
        since 05/2013 · owns F of E••••••••• P••••••• L•••
      Entity owners
      • E••••••••• P••••••• L••• · General Partner
        direct · owns less than 5%
      • E••••••••• P••••••• G• L•• · General Partner
        indirect · owns F of E••••••••• P••••••• L•••
      Related persons
      Schedule D 7.A
      Advisers that list E• C•••••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $4.2B to $4.1B
        Jan 10, 2025 to Mar 20, 2025
      • Employees · 49 to 50
        Jan 10, 2025 to Mar 20, 2025
      • Financial planning clients · unset to
        Jan 10, 2025 to Mar 20, 2025
      • Private funds · 32 to 21
        Jan 10, 2025 to Mar 20, 2025
      • Discretionary RAUM · $4.2B to $4.1B
        Jan 10, 2025 to Mar 20, 2025
      • Pooled vehicle RAUM · $4.2B to $4.1B
        Jan 10, 2025 to Mar 20, 2025
      • RAUM · $4.2B to $4.1B
        Jan 10, 2025 to Mar 20, 2025
      • Advisory employees · 13 to 12
        Oct 23, 2023 to Mar 8, 2024
      • Assets in custody · $4.3B to $4.2B
        Oct 23, 2023 to Mar 8, 2024
      • Employees · 47 to 49
        Oct 23, 2023 to Mar 8, 2024
      • Discretionary RAUM · $4.3B to $4.2B
        Oct 23, 2023 to Mar 8, 2024
      • Pooled vehicle RAUM · $4.3B to $4.2B
        Oct 23, 2023 to Mar 8, 2024
      • RAUM · $4.3B to $4.2B
        Oct 23, 2023 to Mar 8, 2024
      • Accounts · 30 to 32
        Mar 10, 2022 to Mar 9, 2023
      • Advisory employees · 15 to 13
        Mar 10, 2022 to Mar 9, 2023
      • Pooled vehicle clients · 30 to 32
        Mar 10, 2022 to Mar 9, 2023
      • Assets in custody · $5.2B to $4.3B
        Mar 10, 2022 to Mar 9, 2023
      • Employees · 42 to 47
        Mar 10, 2022 to Mar 9, 2023
      • Private funds · 31 to 32
        Mar 10, 2022 to Mar 9, 2023
      • Discretionary RAUM · $5.2B to $4.3B
        Mar 10, 2022 to Mar 9, 2023
      • Pooled vehicle RAUM · $5.2B to $4.3B
        Mar 10, 2022 to Mar 9, 2023
      • RAUM · $5.2B to $4.3B
        Mar 10, 2022 to Mar 9, 2023
      • Accounts · 25 to 30
        Nov 2, 2021 to Mar 10, 2022
      • Advisory employees · 14 to 15
        Nov 2, 2021 to Mar 10, 2022
      • Pooled vehicle clients · 25 to 30
        Nov 2, 2021 to Mar 10, 2022
      • Assets in custody · $4.4B to $5.2B
        Nov 2, 2021 to Mar 10, 2022
      • Employees · 38 to 42
        Nov 2, 2021 to Mar 10, 2022
      • Private funds · 25 to 31
        Nov 2, 2021 to Mar 10, 2022
      • Discretionary RAUM · $4.4B to $5.2B
        Nov 2, 2021 to Mar 10, 2022
      • Pooled vehicle RAUM · $4.4B to $5.2B
        Nov 2, 2021 to Mar 10, 2022
      • RAUM · $4.4B to $5.2B
        Nov 2, 2021 to Mar 10, 2022
      • Accounts · 24 to 25
        Mar 10, 2020 to Mar 12, 2021
      • Advisory employees · 13 to 14
        Mar 10, 2020 to Mar 12, 2021
      • Pooled vehicle clients · 24 to 25
        Mar 10, 2020 to Mar 12, 2021
      • Assets in custody · $4.0B to $4.4B
        Mar 10, 2020 to Mar 12, 2021
      • Employees · 40 to 38
        Mar 10, 2020 to Mar 12, 2021
      • Private funds · 24 to 25
        Mar 10, 2020 to Mar 12, 2021
      • Discretionary RAUM · $4.0B to $4.4B
        Mar 10, 2020 to Mar 12, 2021
      • Pooled vehicle RAUM · $4.0B to $4.4B
        Mar 10, 2020 to Mar 12, 2021
      • RAUM · $4.0B to $4.4B
        Mar 10, 2020 to Mar 12, 2021
      Signals
      6 dated events
      • E• C•••••• M••••••••• L••• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $4.1B)
        Apr 1, 2026 · Left the SEC roster · derived
      • Atiya Leary (Chief Compliance Officer) no longer on Schedule A of E• C•••••• M••••••••• L••• (listed 2024-03-08, absent 2024-08-21)
        Aug 21, 2024 · Control person left · inference
      • B•••••• B•••• R•••••••• (Chief Compliance Officer) appeared on Schedule A of E• C•••••• M••••••••• L•••
        Aug 21, 2024 · Control person joined · fact
      • Kurt Dudas (Limited Partner) no longer on Schedule A of E• C•••••• M••••••••• L••• (listed 2023-03-10, absent 2023-10-23)
        Oct 23, 2023 · Control person left · inference
      • Atiya Leary (Chief Compliance Officer) appeared on Schedule A of E• C•••••• M••••••••• L•••
        Mar 9, 2023 · Control person joined · fact
      • Marie Tinika Brown (General Counsel And Chief Compliance Officer) no longer on Schedule A of E• C•••••• M••••••••• L••• (listed 2021-11-02, absent 2022-03-10)
        Mar 10, 2022 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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