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•••••••• I••••••••• A•••••••
Legal name E•••••••• I••••••••• A••••••• L••
Latest filing May 1, 2026
First filing on the tape Mar 28, 2012 · 23 filings
SEC status approved since Apr 7, 2005
RAUM
$12B
reported, Item 5.F
Discretionary
0.0%
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
46
16 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$12B as of May 1, 2026
Mar 28, 2012$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 1, 2026
Mar 28, 20120 then
Employees (5.A)46 as of May 1, 2026
Mar 26, 201313 then
Private funds3 as of May 1, 2026
Mar 28, 20123 then
RAUM +7.7% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 1, 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
- $3.9BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $123M, 1 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 custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $123M for 1 clientsreported
- Compensation
- performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E•••••••• R••• E••••• P••••••• L•• | Private Equity Fund | $9.9B | 5 | Mar 28, 2012 |
| E•••••••• A•••••••• L• | Private Equity Fund | $665M | 2 | Mar 27, 2020 |
| E••••••••• P••••••• P••••••• L•no longer reported | Private Equity Fund | $321M | 3 | Mar 28, 2012 |
| E•••••••• V•••••• I•••••••• L•• | Private Equity Fund | $43.8M | 2 | Mar 27, 2020 |
| T•• E••••••• I••••••••• P••••••••• L•••••• P•••••••••no longer reported | Private Equity Fund | $2.3M | 1 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H••••• G•••••• C••••• · Ceocontrolsince 03/2005 · owns less than 5%
- M•••••••• A•••••• J•••• · Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
- P•••••••• D•••••• P••• · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- M• I••••••••• G•••• L•• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- E•••••••• A•••••••• G• L••pooled vehicle sponsorn
- E•• M••••••••• L••pooled vehicle sponsorn
- M• C•••••• P••••••• ••• L••broker-dealerinvestment advisern
- M• I••••••••• G•••• G•••••• D• R••••••• L•••••••investment advisern
- M• I••••••••• G•••• L••broker-dealery
- T•••• A•••• M••••••••• L••investment adviseryRAUM $3.2B
Advisers that list E•••••••• I••••••••• A••••••• as a related person
- 147379 y
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom15 employees
- Sao P•••O, Brazil7 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 1, 2026discretionary share of RAUM of 0% against a peer median of 100% (684 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $5B to $20B (684) · 0.0% percentile
What changed
consecutive filings, newest first
- Advisory employees · 2 to 16Oct 31, 2025 to Mar 31, 2026
- Assets in custody · $23.2M to $123MOct 31, 2025 to Mar 31, 2026
- Employees · 47 to 46Oct 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $11B to $12BOct 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $11B to $12BOct 31, 2025 to Mar 31, 2026
- RAUM · $11B to $12BOct 31, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseOct 31, 2025 to Mar 31, 2026
- Advisory employees · 5 to 2Apr 30, 2025 to Oct 31, 2025
- Employees · 50 to 47Apr 30, 2025 to Oct 31, 2025
- BD registered reps · 3 to 0Apr 29, 2024 to Apr 30, 2025
- Assets in custody · $16.0M to $23.2MApr 29, 2024 to Apr 30, 2025
- Employees · 45 to 50Apr 29, 2024 to Apr 30, 2025
- Financial planning clients · unset to Apr 29, 2024 to Apr 30, 2025
- Non-discretionary RAUM · $11B to $11BApr 29, 2024 to Apr 30, 2025
- Pooled vehicle RAUM · $11B to $11BApr 29, 2024 to Apr 30, 2025
- RAUM · $11B to $11BApr 29, 2024 to Apr 30, 2025
- Advisory employees · 4 to 5Oct 26, 2023 to Mar 27, 2024
- BD registered reps · 1 to 3Oct 26, 2023 to Mar 27, 2024
- Assets in custody · $113M to $16.0MOct 26, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $11B to $11BOct 26, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $11B to $11BOct 26, 2023 to Mar 27, 2024
- RAUM · $11B to $11BOct 26, 2023 to Mar 27, 2024
- Other offices · 3 to 2May 8, 2023 to Oct 26, 2023
- Assets in custody · $9.0M to $113MMar 29, 2022 to Mar 29, 2023
- Employees · 44 to 45Mar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $11B to $11BMar 29, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $11B to $11BMar 29, 2022 to Mar 29, 2023
- RAUM · $11B to $11BMar 29, 2022 to Mar 29, 2023
- Assets in custody · $8.0M to $9.0MNov 2, 2021 to Mar 29, 2022
- Employees · 42 to 44Nov 2, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $9.4B to $11BNov 2, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $9.4B to $11BNov 2, 2021 to Mar 29, 2022
- RAUM · $9.4B to $11BNov 2, 2021 to Mar 29, 2022
- Assets in custody · $12.9M to $8.0MMar 27, 2020 to Mar 24, 2021
- Employees · 23 to 42Mar 27, 2020 to Mar 24, 2021
- Non-discretionary RAUM · $9.8B to $9.4BMar 27, 2020 to Mar 24, 2021
- Pooled vehicle RAUM · $9.8B to $9.4BMar 27, 2020 to Mar 24, 2021
- RAUM · $9.8B to $9.4BMar 27, 2020 to Mar 24, 2021
- Accounts · 1 to 3Mar 25, 2019 to Mar 27, 2020
- Pooled vehicle clients · 1 to 3Mar 25, 2019 to Mar 27, 2020
Signals
3 dated events
- Robert Cyrus Heaton (Chief Compliance Officer) no longer on Schedule A of E•••••••• I••••••••• A••••••• (listed 2020-03-27, absent 2021-03-24)Mar 24, 2021 · Control person left · inference
- James Andrew Malleris (Chief Compliance Officer) appeared on Schedule A of E•••••••• I••••••••• A•••••••Mar 24, 2021 · Control person joined · fact
- Paul Daniel Poehling (Chief Operating Officer) appeared on Schedule A of E•••••••• I••••••••• A•••••••Mar 24, 2021 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- E•••••••• I••••••••• A••••••• · Independent Sponsorsshared crd · capital_provider
- E•••••••• I••••••••• A••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- E••••••••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-499-8500reportedpublic record, Form ADV, May 1, 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