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 Mar 27, 2026
First filing on the tape Mar 27, 2012 · 24 filings
SEC status approved since May 2, 2002
RAUM
$4.5B
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
28
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$4.5B as of Mar 27, 2026
Mar 27, 2012$4.3B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 22, 20130 then
Employees (5.A)28 as of Mar 27, 2026
Mar 22, 201324 then
Private funds6 as of Mar 27, 2026
Mar 27, 20123 then
RAUM +6.3% over the last fiscal year-0.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2026; 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
- $449MderivedRAUM 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
- +6.3%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $4.5B, 10 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B98%
- Investment companies$94.0M2.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.5B for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=2.0derived
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
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• W••••••••• F••• I• L••• | Hedge Fund | $3.7B | 530 | Mar 27, 2012 |
| P••••• L•••••• P•••••••• L• | Other Private Fund | $187M | 56 | Feb 13, 2012 |
| E••••••• A•••• S••••••••• F••• L••• | Hedge Fund | $138M | 37 | Mar 27, 2012 |
| E•• B••••••••• F••• I• L• | Private Equity Fund | $58.2M | 127 | Mar 29, 2022 |
| E••••••• H•••• P••••••• L••• | Hedge Fund | $56.6M | 45 | Mar 30, 2021 |
| C••••••••• F••• L••• | Hedge Fund | $42.1M | 9 | Mar 27, 2018 |
| E••••••• I••••••••• E••••• F•••••• F•••• L••• | Hedge Fund | $25.3M | 12 | Mar 30, 2021 |
| E••••••• C••••• O••••••••• F•••• L••• | Hedge Fund | $24.7M | 5 | Mar 30, 2021 |
| B••••••• L•••no longer reported | Hedge Fund | $1.1M | 0 | Mar 20, 2014 |
| T•• W••••••••• L••••••••• E••••• F••• L•••no longer reported | Hedge Fund | $1.0M | 8 | Mar 27, 2012 |
| E••••••• F•••••• A•••• F••• L•••no longer reported | Hedge Fund | $542,834 | 0 | Mar 26, 2015 |
| E••••••• F•••••• A•••• F••• L•••no longer reported | Hedge Fund | $198,694 | 0 | Mar 28, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• P•••• · Chairmancontrolsince 04/2023 · owns less than 5%
- B••••• A•••• B• · Founding Partner - Ceo / Ciocontrolsince 01/2013 · owns less than 5%
- C•••••• R•••• D•••••• · Founding Partner - Business Development And Client Servicecontrolsince 01/2021 · owns less than 5%
- D••••••••• L••••• A•• · Head Of Strategic Business Developmentcontrolsince 10/2014 · owns less than 5%
- K••• K••••••• V•••••••• · Deputy Ciocontrolsince 01/2015 · owns less than 5%
- L••••• B••••• L• · Cfocontrolsince 01/2021 · owns less than 5%
- L••••••• M••••••• L••••• · Chief Compliance Officer And Associate General Counselcontrolsince 12/2010 · owns less than 5%
- M••••••• K••••••• A••• · Founding Partner - President And Coocontrolsince 01/2013 · owns less than 5%
- Z••••••••• S••••• R••• · General Counselcontrolsince 01/2006 · owns less than 5%
- B••••• A•••• B• · Managing Membercontrolsince 02/2020 · owns F of E•• H•••••• L••
- B••••• A•••• B• · Trusteecontrolsince 02/2010 · owns F of A••• B• B•••• R•••••••• T•••• A•• B•••• G•• I•••••••• T••••
- B••••• E••• · Trusteecontrolsince 02/2010 · owns F of A••• B• B•••• R•••••••• T•••• A•• B•••• G•• I•••••••• T••••
Entity owners
- E••••••• C•••••• M••••••••• L••• · Memberdirect · owns 75% or more
- A••• B• B•••• R•••••••• T•••• A•• B•••• G•• I•••••••• T•••• · Limited Partnerindirect · owns 25% to 50% of E••••••• C•••••• M••••••••• L•••
- E•• H•••••• L•• · General Partnerindirect · owns F of E••••••• C•••••• M••••••••• L•••
Related persons
Schedule D 7.A
- E•• B••••••••• F••• I• G• L••investment adviserbankpooled vehicle sponsory
- E••••••• C•••••• G•• L••investment adviserbankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 0 to 2Mar 21, 2025 to Mar 27, 2026
- Assets in custody · $4.2B to $4.5BMar 21, 2025 to Mar 27, 2026
- Employees · 29 to 28Mar 21, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.2B to $4.5BMar 21, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $4.1B to $4.4BMar 21, 2025 to Mar 27, 2026
- RAUM · $4.2B to $4.5BMar 21, 2025 to Mar 27, 2026
- Accounts · 11 to 10Mar 27, 2024 to Mar 21, 2025
- BD registered reps · 2 to 0Mar 27, 2024 to Mar 21, 2025
- Pooled vehicle clients · 10 to 9Mar 27, 2024 to Mar 21, 2025
- Assets in custody · $4.3B to $4.2BMar 27, 2024 to Mar 21, 2025
- Employees · 28 to 29Mar 27, 2024 to Mar 21, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 21, 2025
- Private funds · 7 to 6Mar 27, 2024 to Mar 21, 2025
- Discretionary RAUM · $4.3B to $4.2BMar 27, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $4.2B to $4.1BMar 27, 2024 to Mar 21, 2025
- RAUM · $4.3B to $4.2BMar 27, 2024 to Mar 21, 2025
- Accounts · 12 to 11Mar 29, 2023 to Mar 27, 2024
- Advisory employees · 14 to 13Mar 29, 2023 to Mar 27, 2024
- BD registered reps · 3 to 2Mar 29, 2023 to Mar 27, 2024
- Pooled vehicle clients · 11 to 10Mar 29, 2023 to Mar 27, 2024
- Assets in custody · $4.6B to $4.3BMar 29, 2023 to Mar 27, 2024
- Employees · 29 to 28Mar 29, 2023 to Mar 27, 2024
- Private funds · 8 to 7Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.6B to $4.3BMar 29, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $4.5B to $4.2BMar 29, 2023 to Mar 27, 2024
- RAUM · $4.6B to $4.3BMar 29, 2023 to Mar 27, 2024
- Assets in custody · $4.7B to $4.6BJul 6, 2022 to Mar 29, 2023
- Employees · 28 to 29Jul 6, 2022 to Mar 29, 2023
- Discretionary RAUM · $4.7B to $4.6BJul 6, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $4.6B to $4.5BJul 6, 2022 to Mar 29, 2023
- RAUM · $4.7B to $4.6BJul 6, 2022 to Mar 29, 2023
- Accounts · 13 to 12Apr 23, 2021 to Mar 29, 2022
- Advisory employees · 13 to 14Apr 23, 2021 to Mar 29, 2022
- BD registered reps · 1 to 3Apr 23, 2021 to Mar 29, 2022
- Assets in custody · $3.9B to $4.7BApr 23, 2021 to Mar 29, 2022
- Employees · 27 to 28Apr 23, 2021 to Mar 29, 2022
- Private funds · 10 to 8Apr 23, 2021 to Mar 29, 2022
- Discretionary RAUM · $3.9B to $4.7BApr 23, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $3.9B to $4.6BApr 23, 2021 to Mar 29, 2022
- RAUM · $3.9B to $4.7BApr 23, 2021 to Mar 29, 2022
Signals
10 dated events
- Peter John Amboian (Chairman) appeared on Schedule A of E••••••• C•••••• M••••••••• L••Mar 29, 2023 · Control person joined · fact
- L David Wagner (Principal) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2020-07-21, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Henry Donald Fehrs (Principal - Risk Management And Research) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2020-07-21, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- L B•••• L•••• (Cfo) appeared on Schedule A of E••••••• C•••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Erin Blitz (Trustee) appeared on Schedule A of E••••••• C•••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- J Thomas Croghan (Trustee) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- S. Ellen Wagner (Trustee) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Whitman John Croghan (Elected Manager) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Richard Todd Crockett (Elected Manager) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- B. Roger Kafker (Elected Manager) no longer on Schedule A of E••••••• C•••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- E••••••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- E••••••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- evanstoncap.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 847-328-4961reportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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