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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
E••• M••••••••• C••••••• L••
Latest filing May 20, 2026
First filing on the tape Mar 28, 2012 · 34 filings
SEC status approved since Dec 8, 2005
RAUM
$261M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
82%
$215M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$43.5M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$261M as of May 20, 2026
Mar 28, 2012$58.0M then
HNW client RAUM$202M as of May 20, 2026
Mar 28, 2018$151M then
State-registered IARs (5.B.3)6 as of May 20, 2026
Mar 26, 20130 then
Employees (5.A)7 as of May 20, 2026
Mar 26, 20136 then
Private funds1 as of May 20, 2026
Mar 28, 20122 then
RAUM +3.6% over the last fiscal year+12% a year over threeIARs 7 to 6
Practice profile
derived from the filing of May 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- RAUM per advisor
- $43.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $707,843derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $109M, 50 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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
- High-net-worth individuals$202M77%
- Pooled investment vehicles$30.5M12%
- Individuals$13.0M5.0%
- Corporations and businesses$8.7M3.3%
- Charitable organizations$7.4M2.8%
- Individual clients
- 60reported
- HNW clients
- 84reported
- Pension plan clients
- 0reported
- Charitable clients
- 4reported
- Accounts
- 369reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $194M managedreported
- Custody of client assets
- $109M for 50 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.82 fund_share=0.12 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M••• G••••• | New York, Ny | Nov 24, 2020 | 10 y | 1 |
| J•••• H••••• E•••••Chartered Financial Analyst | New York, Ny | Nov 29, 2021 | 33 y | 0 |
| P••• E•••••Chartered Financial Analyst | New York, Ny | Dec 8, 2021 | 42 y | 0 |
| P••• L•••••• D•••• | New York, Ny | Feb 4, 2022 | 30 y | 0 |
| M•••••• F•••• | New York, Ny | Jun 7, 2022 | 29 y | 0 |
| M•••• S••••• | New York, Ny | Oct 9, 2023 | 24 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- R••••• M••• G••••• from C••• C••••••• L••Nov 24, 2020 · RIA to RIA
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••• S••••• F•••• L• | Hedge Fund | $21.8M | 19 | Mar 28, 2012 |
| E••• F•••• L•no longer reported | Hedge Fund | $6.5M | 7 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E•••••• J••••• H••••• · Member & Chief Compliance Officercontrolsince 04/1995 · owns 25% to 50%
- E•••••• L••••• · Membercontrolsince 04/1995 · owns 25% to 50%
- E•••••• P••• · Managing Membercontrolsince 04/1995 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 24, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $252,164,808 to $261,194,248, advisors 7 to 6, private clients 193 to 144, offices 0 to 0 (2025-04-16 to 2026-03-24)peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 377 to 369Sep 5, 2025 to Mar 24, 2026
- Advisory employees · 6 to 5Sep 5, 2025 to Mar 24, 2026
- Charity clients · 5 to 4Sep 5, 2025 to Mar 24, 2026
- Corporate clients · 0 to 5Sep 5, 2025 to Mar 24, 2026
- HNW clients · 108 to 84Sep 5, 2025 to Mar 24, 2026
- Individual clients · 85 to 60Sep 5, 2025 to Mar 24, 2026
- Assets in custody · $252M to $109MSep 5, 2025 to Mar 24, 2026
- Discretionary RAUM · $252M to $245MSep 5, 2025 to Mar 24, 2026
- HNW RAUM · $200M to $202MSep 5, 2025 to Mar 24, 2026
- Individual RAUM · $16.4M to $13.0MSep 5, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $0 to $15.8MSep 5, 2025 to Mar 24, 2026
- Pooled vehicle RAUM · $29.0M to $30.5MSep 5, 2025 to Mar 24, 2026
- RAUM · $252M to $261MSep 5, 2025 to Mar 24, 2026
- Wrap assets (manager) · $185M to $194MSep 5, 2025 to Mar 24, 2026
- Advisory employees · 7 to 6Apr 16, 2025 to Sep 5, 2025
- Corporate clients · unset to 0.0Apr 16, 2025 to Sep 5, 2025
- Pension plan clients · unset to 0.0Apr 16, 2025 to Sep 5, 2025
- Employees · 8 to 7Apr 16, 2025 to Sep 5, 2025
- Financial planning clients · 0 to 0Apr 16, 2025 to Sep 5, 2025
- State-registered IARs · 7 to 6Apr 16, 2025 to Sep 5, 2025
- Pension RAUM · unset to 0.0Apr 16, 2025 to Sep 5, 2025
- Accounts · 364 to 377Mar 26, 2024 to Apr 16, 2025
- Advisory employees · 6 to 7Mar 26, 2024 to Apr 16, 2025
- Charity clients · unset to 5.0Mar 26, 2024 to Apr 16, 2025
- HNW clients · 66 to 108Mar 26, 2024 to Apr 16, 2025
- Individual clients · 82 to 85Mar 26, 2024 to Apr 16, 2025
- Assets in custody · $21.8M to $252MMar 26, 2024 to Apr 16, 2025
- Employees · 7 to 8Mar 26, 2024 to Apr 16, 2025
- State-registered IARs · 6 to 7Mar 26, 2024 to Apr 16, 2025
- Discretionary RAUM · $214M to $252MMar 26, 2024 to Apr 16, 2025
- HNW RAUM · $168M to $200MMar 26, 2024 to Apr 16, 2025
- Individual RAUM · $18.0M to $16.4MMar 26, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · $21.8M to $29.0MMar 26, 2024 to Apr 16, 2025
- RAUM · $214M to $252MMar 26, 2024 to Apr 16, 2025
- Wrap assets (manager) · $160M to $185MMar 26, 2024 to Apr 16, 2025
- Accounts · 354 to 364Mar 30, 2023 to Mar 26, 2024
- HNW clients · 59 to 66Mar 30, 2023 to Mar 26, 2024
- Individual clients · 79 to 82Mar 30, 2023 to Mar 26, 2024
- Assets in custody · $18.4M to $21.8MMar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $188M to $214MMar 30, 2023 to Mar 26, 2024
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- E••• M••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@elcomanagement.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-333-9618reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-603-7582reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-603-7585reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-603-7582reportedpublic record, Form ADV, May 20, 2026
- Contact form
- elcomanagement.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026