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Former SEC-registered adviser

E•••••• C•••••• M••••••••• I•••

Former SEC-registered adviserSt. Louis, MissouriCRD 120918SEC 801-79448IAPD
Latest filing Jan 27, 2016
First filing on the tape Mar 21, 2014 · 4 filings
RAUM
$684,478
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
10
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$684,478 as of Jan 27, 2016
Mar 24, 2015$7.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 27, 2016
Mar 24, 20150 then
Employees (5.A)10 as of Jan 27, 2016
Mar 24, 201511 then
Private funds: no history
RAUM -91% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 2016; 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
$684,478derivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-91%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 investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E••••• N••••• P••• · Managing Directorcontrol
        since 01/2014 · owns less than 5%
      • M•••••• T•••••• W•••••• · Owner & Chief Executive Officercontrol
        since 07/1983 · owns 75% or more
      • O••••••••• F•••••• · Managing Director & Chief Investment Managercontrol
        since 01/2012 · owns less than 5%
      • S••••• H••••••• M•••• · Chief Financial Officer & Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • S••••• M••••••• A• · Managing Director & Chief Technology Officercontrol
        since 01/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • E•••••• F••• M••••••••• I•••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Norwalk, CT
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 5
        Mar 24, 2015 to Jan 27, 2016
      • Employees · 11 to 10
        Mar 24, 2015 to Jan 27, 2016
      • Discretionary RAUM · $7.6M to $684,478
        Mar 24, 2015 to Jan 27, 2016
      • RAUM · $7.6M to $684,478
        Mar 24, 2015 to Jan 27, 2016
      • Accounts · unset to 1.0
        Jul 31, 2014 to Mar 24, 2015
      • Advisory employees · 5 to 4
        Jul 31, 2014 to Mar 24, 2015
      • Employees · 13 to 11
        Jul 31, 2014 to Mar 24, 2015
      • Discretionary RAUM · unset to 7580000.0
        Jul 31, 2014 to Mar 24, 2015
      • Non-discretionary RAUM · unset to 0.0
        Jul 31, 2014 to Mar 24, 2015
      • RAUM · unset to 7580000.0
        Jul 31, 2014 to Mar 24, 2015
      • Advisory activities · 2 to 1
        Mar 21, 2014 to Jul 31, 2014
      • Business name · E•••••• C•••••• to E•••••• C•••••• M••••••••• I•••
        Mar 21, 2014 to Jul 31, 2014
      Signals
      1 dated events
      • E•••••• C•••••• filed its initial SEC registration (Form ADV)
        Mar 21, 2014 · First SEC registration · fact
      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