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••••••••• M••••••••• L••
Latest filing Jul 3, 2018
First filing on the tape Mar 30, 2012 · 17 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
0
0 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$8.7B as of Jun 29, 2017
Jun 29, 2012$18B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Jul 3, 2018
Jun 28, 20130 then
Employees (5.A)0 as of Jul 3, 2018
Jun 28, 201338 then
Private funds15 as of Jun 29, 2017
Jun 29, 201223 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 3, 2018; 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
- unknownderived5 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
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, selection of other advisersreportedItem 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
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
Private funds
27 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• F•••• I••••• H••••••• N•••no longer reported | Hedge Fund | $2.8B | 417 | Mar 30, 2012 |
| P••••• M•••• H••••••• L•••no longer reported | Hedge Fund | $1.6B | 299 | Mar 30, 2012 |
| P••••• I••••••••• H••••••• N•••no longer reported | Hedge Fund | $778M | 230 | Mar 30, 2012 |
| P••••• F•••• I••••• H••••••• •••••• L•••no longer reported | Hedge Fund | $502M | 31 | Mar 30, 2012 |
| C••• P••• F••• L••no longer reported | Hedge Fund | $437M | 4 | Mar 30, 2012 |
| P••••• J•••• H••••••• N•••no longer reported | Hedge Fund | $420M | 68 | Mar 30, 2012 |
| P••••• S••••• O••••••••• L•••no longer reported | Hedge Fund | $260M | 37 | Mar 30, 2012 |
| P••••• S••••• O••••••••• I•• L•••no longer reported | Hedge Fund | $246M | 17 | Jun 30, 2014 |
| P••••• M••••••••• F•••• •••• M•••• S••••••• F•••no longer reported | Hedge Fund | $178M | 19 | Mar 30, 2012 |
| P••••• I••••••••• P••••••• L•no longer reported | Hedge Fund | $172M | 106 | Mar 30, 2012 |
| P••••• M••••••••• F•••• •••• C•••• S••••••• F•••no longer reported | Hedge Fund | $162M | 22 | Mar 30, 2012 |
| P••••• E••••••• M•••••• H••••••• N•••no longer reported | Hedge Fund | $157M | 90 | Mar 30, 2012 |
| P••••• L••• S•••• G••••• E••••• H••••••• N•••no longer reported | Hedge Fund | $109M | 60 | Mar 30, 2012 |
| P••••• S••••• O••••••••• I• L••no longer reported | Hedge Fund | $81.3M | 65 | Jun 28, 2013 |
| P••••• E••••••• H••••••• N•••no longer reported | Hedge Fund | $69.6M | 54 | Mar 30, 2012 |
| P••••• A•••• F••• L•••no longer reported | Hedge Fund | $66.1M | 2 | Jun 29, 2015 |
| P••••• M••••••••• F•••• •••• A•••••••• M••••••••• F•••no longer reported | Hedge Fund | $61.0M | 29 | Mar 30, 2012 |
| P• R• O••••••••• L••no longer reported | Other Private Fund | $59.3M | 9 | Mar 30, 2012 |
| P••••• A•••• H••••••• N•••no longer reported | Hedge Fund | $52.5M | 43 | Mar 30, 2012 |
| P••••• S••• R••• F••• L•••no longer reported | Hedge Fund | $49.3M | 17 | Mar 30, 2012 |
| P••••• M•••• P••••••• L•no longer reported | Hedge Fund | $47.1M | 40 | Mar 30, 2012 |
| P••••• M••••••••• F•••• •••• N•••••• R•••••••• F•••no longer reported | Hedge Fund | $45.6M | 64 | Mar 30, 2012 |
| P••••• H•••• F••• O••••••••• I• L•••no longer reported | Hedge Fund | $38.3M | 26 | Mar 30, 2012 |
| P••••• H••• A••••• F••• L•••no longer reported | Hedge Fund | $28.5M | 2 | Jun 28, 2013 |
| P••••• H•••• F••• O••••••••• L•••no longer reported | Hedge Fund | $18.7M | 9 | Mar 30, 2012 |
| P••••• P••••••• M••••• L••no longer reported | Other Private Fund | $15.4M | 2 | Mar 30, 2012 |
| P••••• S•••••••• F•••• S••no longer reported | Hedge Fund | $8.7M | 127 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••••• F•••••••• P••• · Chief Financial Officercontrolsince 12/2014 · owns less than 5%
- H•••••••• G••••• S•••• · Chairman & Chief Executive Officercontrolsince 05/2016 · owns less than 5%
- K••••• B••••• J••• · General Counsel / Chief Compliance Officer- U.S.controlsince 05/2016 · owns less than 5%
- Z••••••••• J•••• N•• · Global Chief Risk Officer & Chief Operating Officercontrolsince 05/2016 · owns less than 5%
- H•••••••• G••••• S•••• · Shareholdercontrolsince 05/2016 · owns 75% or more of E•• L••
Entity owners
- E••••••••• L•• · Shareholderdirect · owns 75% or more
- E•• L•• · Shareholderindirect · owns 75% or more of G• E• H••••••• L••
- E••••••••• G•••• H••••••• L•• · Shareholderindirect · owns 50% to 75% of E••••••••• L••
- G• E• H••••••• L•• · Shareholderindirect · owns 25% to 50% of E••••••••• L••
- L••• M•••• G••••• H••••••• L•• ••••••• · Shareholderindirect · owns 75% or more of P••••• G•••• L•••••• •••
- L••• M••••• I••• · Shareholderindirect · owns 75% or more of L••• M•••• G••••• H••••••• L•• ••••••• · public reporting company
- P••••• G•••• L•••••• ••• · Shareholderindirect · owns 75% or more of E••••••••• G•••• H••••••• L••
- P••••• G•••• L•••••• ••• · Shareholderindirect · owns 25% to 50% of P••••• U• L••• •••
- P••••• U• L••• ••• · Shareholderindirect · owns 50% to 75% of E••••••••• G•••• H••••••• L••
Related persons
Schedule D 7.A
- E•••••• F•••• P••••••• L•investment adviserbankpooled vehicle sponsorn
- E•••••• Global Partners LLCinvestment adviserbankpooled vehicle sponsornRAUM $12B
- E••••••••• L•••investment adviserbankn
- E•••••• Global Partners O••••••• LPinvestment adviserbankpooled vehicle sponsornRAUM $6.5B
- E••••••••• S••••••••• L••broker-dealern
- L••• M•••• A•••• M••••••••• S•••••••• P••• L••••••broker-dealerinvestment advisern
- L••• M•••• I••••••••• ••••••• L••••••investment advisern
- L••• M•••• I••••••• S•••••••• L••broker-dealern
- Franklin Templeton Fund Adviser, LLCinvestment adviserbanknRAUM $167B
- P••••• •••• K•••• L••••••broker-dealern
- P••••• G•••• S••investment advisern
- T•• S•• J•••• B••• • T•••• C•••••• L•••n
Advisers that list E••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
- Pais, France2 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Advisory employees · 46 to 0Jun 29, 2018 to Jul 3, 2018
- Employees · 199 to 0Jun 29, 2018 to Jul 3, 2018
- Accounts · 1.0 to unsetOct 24, 2017 to Jun 29, 2018
- Advisory employees · 43 to 46Oct 24, 2017 to Jun 29, 2018
- Pooled vehicle clients · 1 to 0Oct 24, 2017 to Jun 29, 2018
- Assets in custody · $27.0M to $0Oct 24, 2017 to Jun 29, 2018
- Custody of client assets · true to falseOct 24, 2017 to Jun 29, 2018
- Employees · 189 to 199Oct 24, 2017 to Jun 29, 2018
- Private funds · 1 to unsetOct 24, 2017 to Jun 29, 2018
- Discretionary RAUM · 26956881.0 to unsetOct 24, 2017 to Jun 29, 2018
- Non-discretionary RAUM · 0.0 to unsetOct 24, 2017 to Jun 29, 2018
- Pooled vehicle RAUM · $27.0M to $0Oct 24, 2017 to Jun 29, 2018
- RAUM · 26956881.0 to unsetOct 24, 2017 to Jun 29, 2018
- Accounts · 49 to 1Jun 29, 2017 to Oct 24, 2017
- Advisory employees · 45 to 43Jun 29, 2017 to Oct 24, 2017
- Advisory activities · 4 to 2Jun 29, 2017 to Oct 24, 2017
- Charity clients · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Corporate clients · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- HNW clients · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Individual clients · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Pension plan clients · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Pooled vehicle clients · unset to 1.0Jun 29, 2017 to Oct 24, 2017
- Assets in custody · $5.7B to $27.0MJun 29, 2017 to Oct 24, 2017
- Employees · 198 to 189Jun 29, 2017 to Oct 24, 2017
- Other offices · unset to 4.0Jun 29, 2017 to Oct 24, 2017
- Private funds · 15 to 1Jun 29, 2017 to Oct 24, 2017
- Discretionary RAUM · $8.2B to $27.0MJun 29, 2017 to Oct 24, 2017
- HNW RAUM · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Individual RAUM · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Non-discretionary RAUM · $438M to $0Jun 29, 2017 to Oct 24, 2017
- Pension RAUM · unset to 0.0Jun 29, 2017 to Oct 24, 2017
- Pooled vehicle RAUM · unset to 26956881.0Jun 29, 2017 to Oct 24, 2017
- RAUM · $8.7B to $27.0MJun 29, 2017 to Oct 24, 2017
- Accounts · 63 to 49Jun 1, 2016 to Jun 29, 2017
- Advisory employees · 23 to 45Jun 1, 2016 to Jun 29, 2017
- Business name · P••••• A•••• M••••••••• L•• to E••••••••• M••••••••• L••Jun 1, 2016 to Jun 29, 2017
- Assets in custody · $8.6B to $5.7BJun 1, 2016 to Jun 29, 2017
- Employees · 23 to 198Jun 1, 2016 to Jun 29, 2017
- Legal name · P••••• A•••• M••••••••• L•• to E••••••••• M••••••••• L••Jun 1, 2016 to Jun 29, 2017
- Private funds · 20 to 15Jun 1, 2016 to Jun 29, 2017
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- E••••••••• M••••••••• L•• · Private Equityshared crd · organization
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